Daniel R. Murphy

TJM INVESTMENTS

Chicago, IL 60606

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CRD#: 1619045

Professional summary

Daniel Richard Murphy is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1988. Daniel has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

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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 15, 2008 - Present

TJM INVESTMENTS, LLC

Office #1: 318 W. Adams Street Suite 900, Chicago, IL 60606

CRD#: 46300

Chicago, IL

Past

July 17, 2006 - October 30, 2006

TJM INVESTMENTS, LLC

CRD#: 46300

CHICAGO, IL

Past

October 25, 2001 - May 1, 2006

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

February 1, 2000 - October 19, 2001

PRESTIGE FINANCIAL CENTER, INC.

CRD#: 30407

NEW YORK, NY

Past

May 10, 1999 - October 9, 2000

TJM INVESTMENTS, LLC

CRD#: 46300

CHICAGO, IL

Past

June 17, 1996 - May 27, 1999

RJO SECURITIES, INC.

CRD#: 13586

CHICAGO, IL

Past

January 17, 1990 - May 15, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 21, 1988 - January 17, 1990

GELBER SECURITIES, LLC

CRD#: 18367

CHICAGO, IL

State Registrations and Notice Filings

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

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

Connecticut
(1/3/2020)

Illinois
(1/3/2020)

New Jersey
(3/18/2020)

New York
(1/6/2020)

Ohio
(1/6/2020)

Exams

State Security Law Exam

Series 63

Date: 10/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/17/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

New York Stock Exchange

Current Firm

TJM INVESTMENTS, LLC

MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

318 W. Adams Street Suite 900, Chicago, IL 60606

Mailing Address

318 W. Adams Street 9th Floor, Chicago, IL 60606

Phone number

(312) 432-5100

Established

Illinois since 10/13/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TJM HOLDINGS, LLC	HOLDING COMPANY
BEITLER, STEVE ALLEN	CHIEF EXECUTIVE OFFICER	1893827
BURKE, JOHN TERRENCE	CHIEF OPERATING OFFICER	2116593
DANG, STACY BINH	CHIEF COMPLIANCE OFFICER	3143275
MURPHY, THOMAS JAMES	CO-MANAGER	857354
RISINGER, COLLEEN SULLIVAN	FINOP CFO	2812053
SKWERES, DENISE PAREJKO	FINOP CFO	5332253

Disclosures

Regulatory Event

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

Daniel R. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

TJM INVESTMENTS, LLC

UBS ASSET MANAGEMENT (US) INC.

PRESTIGE FINANCIAL CENTER, INC.

TJM INVESTMENTS, LLC

RJO SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

GELBER SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/11/1994

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 4/17/2009

Series 7

Date: 6/18/1988

Cboe Exchange, Inc.

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

New York Stock Exchange

Current Firm

TJM INVESTMENTS, LLC

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TJM INVESTMENTS, LLC

TRUST BUT VERIFY

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