James R. 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.
James Robert Murphy, CFP®, who also goes by James R Murphy, James Robert Murphy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 14 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2019 - June 3, 2024
FBL WEALTH MANAGEMENT, LLC
December 3, 2019 - June 3, 2024
FBL MARKETING SERVICES, LLC
February 12, 2019 - November 29, 2019
ARBOR COURT CAPITAL, LLC
January 22, 2019 - November 29, 2019
INNOVATIVE PORTFOLIOS LLC
May 17, 2016 - November 29, 2019
SHEAFF BROCK INVESTMENT ADVISORS, LLC
January 7, 2014 - January 8, 2014
CHARLES SCHWAB & CO., INC.
January 3, 2012 - March 16, 2016
SCHWAB WEALTH ADVISORY, INC.
May 30, 2008 - December 31, 2011
CHARLES SCHWAB & CO., INC.
February 15, 2008 - March 16, 2016
CHARLES SCHWAB & CO., INC.
November 16, 2005 - January 11, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 10, 1997 - December 5, 2005
CHARLES SCHWAB & CO., INC.
September 14, 1996 - December 10, 1996
BA INVESTMENT SERVICES, INC.
December 19, 1994 - June 6, 1996
MFS FUND DISTRIBUTORS, INC.
January 4, 1994 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
October 30, 1992 - September 16, 1993
FIDELITY BROKERAGE SERVICES LLC
August 20, 1992 - November 20, 1992
BNY MELLON SECURITIES CORPORATION
July 5, 1991 - May 7, 1992
FIDELITY BROKERAGE SERVICES LLC
November 23, 1988 - June 19, 1990
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
FBL WEALTH MANAGEMENT, LLC
CRD#: 291396 / SEC#: 801-113458
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 8
Date: 11/5/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FBL WEALTH MANAGEMENT, LLC
CRD#: 291396 / SEC#: 801-113458
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 8,654,949 |
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.
