Richard G. 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.
Richard Graham Murphy, who also goes by Graham Murphy, R G Graham Murphy, Richard G Graham Murphy, Richard Gregory Murphy, Richard Gregory Graham Murphy, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 14 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2015 - January 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2015 - January 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 2015 - July 31, 2015
CITIGROUP GLOBAL MARKETS INC.
June 27, 2011 - January 2, 2015
AXIOM CAPITAL MANAGEMENT, INC.
January 12, 2005 - January 10, 2006
MCGINN, SMITH & CO., INC.
August 13, 2004 - January 12, 2005
MORGAN STANLEY DW INC.
December 16, 2002 - June 19, 2003
ORMES CAPITAL MARKETS, INC.
October 23, 1997 - May 27, 1999
ORMES CAPITAL MARKETS, INC.
December 18, 1995 - November 27, 1996
J.P. MORGAN SECURITIES LLC
November 18, 1993 - January 3, 1996
GLEACHER & COMPANY SECURITIES, INC.
May 19, 1993 - November 16, 1993
SAPERSTON FINANCIAL INC.
March 26, 1993 - May 28, 1993
G.R. STUART & COMPANY, INC.
February 14, 1991 - October 27, 1992
TUCKER ANTHONY INCORPORATED
May 22, 1989 - March 8, 1991
UBS FINANCIAL SERVICES INC.
April 29, 1989 - June 19, 1989
LEHMAN BROTHERS INC.
February 2, 1987 - February 11, 1992
BARRY MURPHY & COMPANY, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 55
Date: 7/19/2011
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
