AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
PM

Peggy J. Murphy

Some features on this profile are disabled
CRD#: 1680877
PM

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"?
No

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.

BD
CRD#: 5393
WESTLAKE, TX
Past

October 14, 1997 - December 31, 1998

TDI, INCORPORATED

BD
CRD#: 30629
ENGLEWOOD, CO
Past

August 7, 1989 - December 29, 1995

PIM FINANCIAL SERVICES, INC.

BD
CRD#: 10547
SAN MARCOS, CA
Past

September 23, 1987 - June 2, 1989

FERRIS, BAKER WATTS, LLC

BD
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".
EF
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.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/4/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/26/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/11/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/27/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/23/1990
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/13/1989
Registered Options Principal Examination

Current Firm

EF
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts1,552,934
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.

Company Information

EDELMAN FINANCIAL ENGINES

CRD#: 104510

TRUST BUT VERIFY

Monitor Peggy Murphy

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.