James M. 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.
James Michael Murphy, who also goes by Michael Murphy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2013 - February 28, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
May 2, 2013 - February 28, 2022
ALLSTATE FINANCIAL SERVICES, LLC
May 22, 2012 - March 27, 2013
NEW ENGLAND SECURITIES
February 3, 2012 - March 27, 2013
NEW ENGLAND SECURITIES
December 6, 2011 - February 9, 2012
FISHER INVESTMENTS
May 23, 2011 - October 3, 2011
GITTERMAN WEALTH MANAGEMENT, LLC
March 8, 2011 - September 28, 2011
TRIAD ADVISORS LLC
June 22, 2010 - March 3, 2011
VALIC FINANCIAL ADVISORS, INC.
June 8, 2010 - March 3, 2011
VALIC FINANCIAL ADVISORS, INC.
December 13, 2006 - May 20, 2010
STRATEGIC ADVISERS LLC
June 13, 2006 - May 18, 2010
FIDELITY BROKERAGE SERVICES LLC
May 26, 2006 - June 2, 2006
WEISS CAPITAL SECURITIES, INC.
September 22, 1998 - January 9, 2006
CHARLES SCHWAB & CO., INC.
March 1, 1984 - January 9, 2006
CHARLES SCHWAB & CO., INC.
August 9, 1983 - February 9, 1984
FIRST INTERWEST SECURITIES CORPORATION
December 21, 1982 - August 15, 1983
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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 8
Date: 6/30/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
