GM
Gary M. Murphy
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CRD#: 1400799
GM
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.
Gary Michael Murphy was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1985. Gary had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 16, 2017 - February 9, 2018
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
SARASOTA, FL
Past
August 2, 2017 - February 9, 2018
AEGIS CAPITAL CORP.
BD
CRD#: 15007
SARASOTA, FL
Past
May 20, 2015 - April 25, 2017
TD AMERITRADE, INC.
RIA
CRD#: 7870
SARASOTA, FL
Past
May 20, 2015 - April 25, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
SARASOTA, FL
Past
May 12, 2015 - April 25, 2017
TD AMERITRADE, INC.
BD
CRD#: 7870
SARASOTA, FL
Past
October 10, 2012 - October 15, 2013
JACKSON WEALTH MANAGEMENT, LLC
RIA
CRD#: 147642
LAKE MARY, FL
Past
October 5, 2012 - October 15, 2013
TRIAD ADVISORS LLC
BD
CRD#: 25803
LAKE MARY, FL
Past
December 22, 2010 - October 18, 2012
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SARASOTA, FL
Past
December 21, 2010 - October 18, 2012
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SARASOTA, FL
Past
October 6, 2010 - December 10, 2010
ROBINSON VALUE MANAGEMENT, LTD.
RIA
CRD#: 110156
DOUBLE OAK, TX
Past
November 2, 2006 - November 3, 2009
TD AMERITRADE, INC.
RIA
CRD#: 7870
FORT WORTH, TX
Past
November 2, 2006 - November 3, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
FORT WORTH, TX
Past
November 2, 2006 - November 3, 2009
TD AMERITRADE, INC.
BD
CRD#: 7870
FORT WORTH, TX
Past
August 18, 2000 - August 9, 2006
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
DENVER, CO
Past
January 7, 1987 - August 9, 2006
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DENVER, CO
Past
March 20, 1986 - December 16, 1986
FIDELITY DISTRIBUTORS CORPORATION
BD
CRD#: 6848
Past
August 20, 1985 - February 5, 1986
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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".
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/1/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Phone number
(212) 813-1010
Established
New York since 01/15/1984
Firm type
Corporation
Fiscal year end
November
Firm Size
Medium
# of Employees
270
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGIS CAPITAL HOLDING CORP. | HOLDING COMPANY | |
| EIDE, ROBERT JAY | CEO, SECRETARY, CLO, DIRECTOR | 1015261 |
| FEINMAN, ROBERT STEVEN | CHIEF COMPLIANCE OFFICER | 205708 |
| KOTT, GEORGE GREGORY | CHIEF OPERATING OFFICER | 2876578 |
| MCKENNA, FRANCIS J | MUNICIPAL PRINCIPAL | 4825383 |
| MILLER, JOHN STEVENSON | CO-FINOP | 2139980 |
| POSS, THOMAS CHAMPNEY | CHIEF FINANCIAL OFFICER, CO-FINOP | 2547521 |
Regulatory assets under management
| Total Number of Accounts | 2,760 |
| AUM (Assets Under Management) | $ 1,430,612,106 |
Disclosures
| Regulatory Event | 40 |
| 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.
