James R. Murphy

J. MURPHY ASSET AND TAX MANAGEMENT

WESTBROOK, ME 04092

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CRD#: 1512610

Professional summary

James Richard Murphy, who also goes by James R Murphy, is a registered financial advisor currently at J. MURPHY ASSET AND TAX MANAGEMENT located in Westbrook, Maine.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James R 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.

1) J. MURPHY PA (NON-INVESTMENT RELATED), 306 BRIDGTON ROAD, WESTBROOK, ME 04092; OWNER, START DATE: 10/88; APPROX. 64 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; TAX PREPARATION/PLANNING AND ACCOUNTING. 2) COMMERCIAL PROPERTY OWNER; NON-INVESTMENT RELATED; WESTBROOK, ME; OWNER; START 2006; 10 HOURS PER/MONTH; 0 HOURS DURING SECURITIES TRADING; SUPERVISE PROPERTY, COLLECT RENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Murphy'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®

None

Experience

Current

January 12, 2017 - Present

J. MURPHY ASSET AND TAX MANAGEMENT

Office #1: 1 Sawyer Road, Westbrook, ME 04092

RIA

CRD#: 286006

WESTBROOK, ME

Past

January 4, 2010 - January 16, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

WESTBROOK, ME

Past

January 4, 2010 - January 16, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WESTBROOK, ME

Past

October 15, 2002 - December 31, 2009

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

PORTLAND, ME

Past

November 28, 2001 - December 31, 2009

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

WESTBROOK, ME

Past

September 30, 1987 - August 2, 1988

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

August 11, 1986 - September 30, 1987

IRONWOOD SECURITIES, INC.

CRD#: 13543

Past

June 24, 1986 - July 30, 1986

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

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.

Highlighted states indicate IAR registrations

IAR

Maine
(1/12/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/5/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/24/1986

General Securities Principal Examination

Current Firm

J. MURPHY ASSET AND TAX MANAGEMENT

J. MURPHY ASSET AND TAX MANAGEMENT | J. MURPHY ASSET MANAGEMENT, LLC

CRD#: 286006 / SEC#:

Maine

Registered Investment Advisory firm - (1/12/2017 Approved)

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Contact information

Main Address

1 Sawyer Road, Westbrook, ME 04092

Mailing Address

Phone number

(207) 879-1040

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	132
AUM (Assets Under Management)	$ 26,438,077

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.

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Advisor Monitoring

Firm Stability Insights

James R. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Murphy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

IRONWOOD SECURITIES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/5/2002

Series 63

Date: 12/4/2001

SIE

Date: 1/16/2017

Series 7

Date: 11/27/2001

Series 24

Date: 12/24/1986

Current Firm

J. MURPHY ASSET AND TAX MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

J. MURPHY ASSET AND TAX MANAGEMENT

TRUST BUT VERIFY

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