Joseph P. 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.
Joseph Patrick Murphy, who also goes by Joseph Murphy, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 8 firms and has passed the Series 63, SIE, Series 19, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2018 - December 9, 2019
TJM INVESTMENTS, LLC
January 3, 2011 - June 27, 2018
BURKE & QUICK PARTNERS LLC
April 30, 2007 - January 10, 2011
TULLETT PREBON FINANCIAL SERVICES LLC
April 20, 2004 - May 17, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
January 9, 2001 - April 19, 2004
APEX CLEARING CORPORATION
November 3, 2000 - April 26, 2001
PRESTIGE FINANCIAL CENTER, INC.
September 26, 1996 - October 13, 1997
ICAP SECURITIES USA LLC
September 22, 1987 - February 26, 1988
GARBAN CAPITAL MARKETS LLC
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 19
Date: 7/26/2018
NYSE Floor Clerk - Equities ExaminationSeries 55
Date: 4/11/2002
Limited Representative-Equity Trader ExamCurrent Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
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 | 12 |
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.
