Robert J. 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.
Robert John Murphy was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2013 - November 14, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 22, 2010 - October 14, 2011
BANC OF MANHATTAN CAPITAL
August 20, 2009 - September 8, 2010
AURIGA USA, LLC
May 27, 1999 - September 13, 2007
COUNTRYWIDE SECURITIES CORPORATION
June 30, 1998 - May 26, 1999
M. J. WHITMAN, INC.
September 5, 1996 - March 20, 1998
PERSHING LLC
January 11, 1995 - September 17, 1996
UBS FINANCIAL SERVICES INC.
October 25, 1990 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
March 14, 1990 - October 10, 1990
UBS SECURITIES LLC
July 25, 1987 - March 13, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
September 24, 1985 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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
Current Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
