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William James Murphy

CRD# 1437087·Registered 1985 - 2011
Barred: William James Murphy was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

William James Murphy, who also goes by Bill Murphy, William J Murphy, was a registered financial advisor. William was a previously registered financial advisor and started their career in finance 1985 - 2011. William had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bill Murphy, William J Murphy

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

BIRKELBACH MANAGEMENT CORP·CRD# 123653
RIA
Chicago, IL
February 2, 2007 - November 10, 2011
BIRKELBACH INVESTMENT SECURITIES, INC.·CRD# 11490
BD
Chicago, IL
November 7, 1995 - October 20, 2011
LEXINGTON SECURITIES, INC.·CRD# 13102
BD
Chicago, IL
October 31, 1994 - October 23, 1995
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
October 23, 1989 - October 14, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
December 23, 1985 - October 28, 1989

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 1993About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1985About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 1995About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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