David 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.
David Mark Murphy, who also goes by David M Murphy, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 14 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2020 - July 30, 2025
AMERITAS INVESTMENT COMPANY, LLC
December 27, 2018 - August 31, 2020
NYLIFE SECURITIES LLC
October 18, 2017 - October 2, 2018
ALLSTATE FINANCIAL SERVICES, LLC
August 21, 2015 - August 1, 2017
PARK AVENUE SECURITIES LLC
July 1, 2015 - August 1, 2017
PARK AVENUE SECURITIES LLC
August 28, 2014 - July 9, 2015
EQUITABLE ADVISORS, LLC
May 7, 2014 - July 9, 2015
EQUITABLE ADVISORS, LLC
March 13, 2006 - October 31, 2013
MSI FINANCIAL SERVICES, INC.
January 5, 1999 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 5, 1999 - October 31, 2013
MSI FINANCIAL SERVICES, INC.
November 14, 1997 - October 16, 1998
VOYA FINANCIAL PARTNERS, LLC
November 8, 1990 - November 7, 1997
VOYA FINANCIAL ADVISORS, INC.
July 2, 1990 - November 4, 1997
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
March 16, 1989 - December 31, 1989
G. R. PHELPS & CO., INC.
March 6, 1987 - May 4, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
February 13, 1984 - October 31, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 25, 1983 - November 15, 1983
WS GRIFFITH SECURITIES, INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| 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.
