MICHAEL MURPHY HURTGEN

MICHAEL MURPHY HURTGEN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 5655 S YOSEMITE ST, #340, GREENWOOD VILLAGE, CO, 80111.

MICHAEL MURPHY HURTGEN has worked at CETERA ADVISOR NETWORKS LLC since November 01, 2017

Disclosure History

MICHAEL MURPHY HURTGEN has 3 Disclosure Event(s).

Date: March 12, 2018
Category: Regulatory

Date: February 23, 2016
Category: Employment Separation After Allegations
Firm Name: RAYMOND JAMES FINANCIAL SERVICES, INC
Termination Type: Discharged
Allegations: Terminated for soliciting interest in a private placement, for a firm approved outside business activity and company owned by FA, to clients without approval. The solicited parties were a relative of FA and a longtime client.
Broker Comment: I was terminated for soliciting membership interests in a private placement for my previously approved outside business activity. I had obtained prior approval for the OBA, which included solicitation and funding by a non-affiliated and non-registered person, however understanding that I had prior approval for the OBA and its funding, I accepted additional funding from two new investors, one a family member and the other, long term friends and clients, without first obtaining updated firm approval for funding and issuance of the new membership interests

Date: February 23, 2016
Category: Employment Separation After Allegations
Firm Name: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Termination Type: Discharged
Allegations: Terminated for soliciting interest in a private placement, for a firm approved outside business activity and company owned by FA, to clients without approval. The solicited parties were a relative of FA and a longtime client.
Broker Comment: I was terminated for soliciting membership interests in a private placement for my previously approved outside business activity. I had obtained prior approval for the OBA, which included solicitation and funding by a non-affiliated and non-registered person, however understanding that I had prior approval for the OBA and its funding, I accepted additional funding from two new investors, one a family member and the other, long term friends and clients, without first obtaining updated firm approval for funding and issuance of the new membership interests

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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