LM
Louis G. Murphy
BROWN, LISLE/CUMMINGS
Providence, RI 02903
Some features on this profile are disabled
CRD#: 1162141
LM
Professional summary
Louis George Murphy JR, who also goes by Louis Jr George Murphy, is a registered financial advisor currently at BROWN, LISLE/CUMMINGS, INC. located in Providence, Rhode Island.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Louis has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Louis Jr George Murphy
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Louis George Murphy JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louis George Murphy JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 5, 2007 - Present
BROWN, LISLE/CUMMINGS, INC.
Office #1: One Turks Head Place - Suite 800, Providence, RI 02903RIA
BD
CRD#: 1331
Providence, RI
Current
January 11, 1985 - Present
BROWN, LISLE/CUMMINGS, INC.
Office #1: One Turks Head Place - Suite 800, Providence, RI 02903RIA
BD
CRD#: 1331
Providence, RI
Past
October 20, 1983 - December 26, 1984
CUMMINGS & CO., INC.
BD
CRD#: 1562
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BROWN, LISLE/CUMMINGS, INC.
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
CRD#: 1331 / SEC#: 801-121156, 8-12716
RIA
Registered Investment Advisory firm - SEC (5/6/2021 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/11/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (2/11/2010 Terminated)Washington
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(4/3/2003)
RR
California(11/20/2001)
RR
Colorado(12/7/2021)
RR
Connecticut(1/29/1990)
RR
District of Columbia(3/30/1998)
RR
Florida(2/26/1991)
RR
Georgia(11/7/2023)
RR
Hawaii(10/22/1997)
RR
Illinois(11/14/2014)
RR
Maine(7/11/2002)
RR
Maryland(12/18/2000)
RR
Massachusetts(1/11/1985)
RR
New Hampshire(1/29/1990)
RR
New Jersey(11/27/2015)
RR
New York(12/18/2000)
RR
North Carolina(11/12/2020)
RR
Ohio(11/27/2018)
RR
Pennsylvania(8/5/2024)
RR
Rhode Island(1/15/1985)
IAR
Rhode Island(7/5/2007)
RR
South Carolina(11/28/2006)
RR
Utah(10/22/2009)
RR
Vermont(4/23/1999)
RR
Virginia(7/9/1998)
RR
Washington(1/30/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BROWN, LISLE/CUMMINGS, INC.
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
CRD#: 1331 / SEC#: 801-121156, 8-12716
RIA
Registered Investment Advisory firm - SEC (5/6/2021 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/11/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (2/11/2010 Terminated)Washington
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Turks Head Place - Suite 800 Suite 800, Providence, RI 02903
Mailing Address
One Turks Head Place - Suite 800, Providence, RI 02903-2273
Phone number
(401) 421-8900
Established
Rhode Island since 12/13/1965
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
SEC notice filing (13 States and Territories)
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IZZI, DAVID ANTHONY | PRESIDENT; SECRETARY; TREASURER; CHIEF COMPLIANCE OFFICER | 2027961 |
| LISLE, SCOTT SAWYER | VICE PRESIDENT | 2220388 |
| MARGINSON, JOHN ARTHUR | VICE PRESIDENT | 860727 |
| MCGINN, JOSEPH HUGH JR | VICE PRESIDENT | 2354164 |
| MURPHY, LOUIS GEORGE JR | VICE PRESIDENT | 1162141 |
| TRACY, CLIFFORD BURRELL JR | VICE PRESIDENT | 1213468 |
Regulatory assets under management
| Total Number of Accounts | 445 |
| AUM (Assets Under Management) | $ 414,675,665 |
Disclosures
| Regulatory Event | 7 |
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.
Company Information
BROWN, LISLE/CUMMINGS, INC.
CRD#: 1331Providence, RI 02903TRUST BUT VERIFY
Monitor Louis Murphy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
