Peggy J. Murphy

Some features on this profile are disabled

CRD#: 1680877

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.

Peggy Joanne Murphy, who also goes by Peggy J Kaiser, Peggy Kaiser, was a registered financial professional .

Peggy is a previously registered financial professional and started their career in finance in 1987. Peggy had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 9, Series 10, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peggy J Kaiser | Peggy Kaiser

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 30, 2016 - January 7, 2022

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

METAIRIE, LA

Past

July 22, 2015 - November 30, 2016

FINANCIAL ENGINES ADVISOR CENTER, LLC

RIA

CRD#: 109238

METAIRIE, LA

Past

November 2, 2011 - September 9, 2015

THE MUTUAL FUND STORE

RIA

CRD#: 159151

METAIRIE, LA

Past

May 11, 2006 - November 2, 2011

THE MUTUAL FUND STORE

RIA

CRD#: 132720

METAIRIE, LA

Past

July 20, 1999 - January 6, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

October 14, 1997 - December 31, 1998

TDI, INCORPORATED

CRD#: 30629

ENGLEWOOD, CO

Past

August 7, 1989 - December 29, 1995

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Past

September 23, 1987 - June 2, 1989

FERRIS, BAKER WATTS, LLC

CRD#: 285

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 4/4/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 7/11/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 6/27/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/1990

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/13/1989

Registered Options Principal Examination

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Peggy J. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINANCIAL ENGINES ADVISOR CENTER, LLC

THE MUTUAL FUND STORE

THE MUTUAL FUND STORE

CHARLES SCHWAB & CO., INC.

TDI, INCORPORATED

PIM FINANCIAL SERVICES, INC.

FERRIS, BAKER WATTS, LLC

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/1996

Series 63

Date: 8/26/1987

Series 7

Date: 7/18/1987

Series 9

Date: 7/11/2001

Series 10

Date: 6/27/2001

Series 24

Date: 3/23/1990

Series 4

Date: 9/13/1989

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

Similar Advisors