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Thomas P. Murphy

IMPERIAL CAPITAL
New York, NY 10172
Some features on this profile are disabled
CRD#: 1508192
TM

Professional summary

Thomas Patrick Murphy, who also goes by Thomas Patrick Murphy, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Patrick 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Patrick Murphy's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 24, 2025 - Present

IMPERIAL CAPITAL, LLC

Office #1: 277 Park Avenue Suite 2004, New York, NY 10172
BD
CRD#: 43744
New York, NY
Past

December 23, 2020 - June 10, 2025

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
Denver, CO
Past

August 4, 2020 - December 16, 2020

PARK WALK CAPITAL MARKETS, LLC

BD
CRD#: 304551
AUSTIN, TX
Past

June 11, 2018 - January 30, 2020

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
Denver, CO
Past

January 14, 2008 - May 11, 2018

OPPENHEIMER & CO. INC.

BD
CRD#: 249
DENVER, CO
Past

November 3, 1997 - January 14, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
DENVER, CO
Past

September 1, 1995 - November 3, 1997

CIBC WOOD GUNDY SECURITIES CORP.

BD
CRD#: 3801
NEW YORK, NY
Past

May 9, 1995 - September 1, 1995

THE ARGOSY SECURITIES GROUP, L.P.

BD
CRD#: 27301
NEW YORK, NY
Past

May 21, 1986 - March 14, 1995

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(6/24/2025)
RR
Colorado
(6/24/2025)
RR
Georgia
(11/6/2025)
RR
Illinois
(6/24/2025)
RR
New Jersey
(6/24/2025)
RR
New York
(6/24/2025)
RR
Texas
(6/24/2025)
RR
Wisconsin
(6/24/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/15/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

IC
IMPERIAL CAPITAL, LLC
IMPERIAL CAPITAL, LLC

CRD#: 43744 / SEC#: , 8-50397

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067
Mailing Address
10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067
Phone number
(310) 246-3700
Established
Delaware since 07/22/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IMPERIAL CAPITAL GROUP, LLCDIRECT OWNER
GENOVESE, RICHARD ALANVICE PRESIDENT & CONTROLLER (FINOP)1434049
MARTIS, MARK CHRISTOPHERCHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER1598950
WIENCH, TODD EDMUNDCHIEF COMPLIANCE OFFICER5361575
WOOSTER, RANDALL EVANCEO1822107

Disclosures

Regulatory Event2
Arbitration1

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

IMPERIAL CAPITAL, LLC

CRD#: 43744New York, NY 10172

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