Michael D. Murphy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael David Murphy was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 22 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 55, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2024 - August 27, 2025
1ST DISCOUNT BROKERAGE, INC.
July 15, 2024 - August 27, 2025
1ST DISCOUNT BROKERAGE, INC.
December 10, 2020 - May 13, 2024
MUTUAL OF AMERICA SECURITIES LLC
June 13, 2019 - September 30, 2019
NYLIFE SECURITIES LLC
March 30, 2017 - June 12, 2018
VIEWTRADE SECURITIES, INC.
July 23, 2015 - February 4, 2016
KINETIC FINANCIAL ADVISORS, LLC
September 6, 2011 - August 3, 2012
FURTHER LANE SECURITIES, L.P.
April 1, 2011 - August 31, 2011
ARBOR RESEARCH & TRADING, LLC
April 28, 2009 - May 15, 2009
BONDS.COM WEALTH MANAGEMENT, LLC
February 25, 2009 - May 15, 2009
BONDS.COM LLC
April 5, 2006 - April 20, 2006
NEWBRIDGE SECURITIES CORPORATION
February 13, 2006 - April 4, 2006
CAROLINA CAPITAL MARKETS, INC.
February 4, 2005 - January 3, 2006
MORGAN JOSEPH TRIARTISAN LLC
February 3, 2003 - October 22, 2004
PENSON FINANCIAL SERVICES, INC.
August 29, 2001 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
June 28, 2000 - July 30, 2001
IMPERIAL CAPITAL, LLC
December 9, 1994 - November 14, 1996
NATWEST SECURITIES CORPORATION
November 23, 1993 - November 12, 1994
AEB CORPORATION
September 4, 1990 - April 28, 1993
WELLS FARGO CLEARING SERVICES, LLC
April 26, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 29, 1989 - March 28, 1990
MONTGOMERY SECURITIES
March 27, 1987 - February 1, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
February 24, 1983 - August 26, 1985
TP ICAP GLOBAL MARKETS AMERICAS LLC
Primary Firm SEC Registration
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/27/2001
Limited Representative-Equity Trader ExamSeries 5
Date: 8/19/1987
Interest Rate Options ExaminationCurrent Firm
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 108,117,119 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
