JM
James T. Murfee
VOYA FINANCIAL ADVISORS
Birmingham, AL 35223
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CRD#: 1765445
JM
Professional summary
James Thomas Murfee IV, AIF®, CFP®, who also goes by James T Murfee, Tom Murfee IV, Tom Murfee, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Birmingham, Alabama.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. James has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James T Murfee | Tom Murfee Iv | Tom Murfee
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.
NAME OF ENTITY:Murfee-Ard Properties, LLC; No; 120 OFFICE PARK DR #100; BIRMINGHAM; AL; 35223; Commercial Bldg Ownership; President; 1/1/2012; 0; 0; collect rent within a commercial office building|NAME OF ENTITY:MURFEE MEADOWS, INC; Yes; 120 OFFICE PARK DRIVE SUITE 100; BIRMINGHAM; AL; 35223; FINANCIAL SERVICES/DBA; PRESIDENT/OWNER; 3/1/1993; 80; 80; SALE AND SERVICE INSURANCE,SECURITIES AND INVESTMENT PRODUCTS.MANAGE THIRD PARTY ADMINISTRATION.|NAME OF ENTITY:Murfee-Capstone Properties, LLC; No; 120 OFFICE PARK DRIVE #100; BIRMINGHAM; AL; 35223; Condo rental; President/Owner; 1/1/2012; 4; 4; collect rent and untilities from tenants of single condominium owned by rep.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 120 OFFICE PARK DRIVE SUITE 100; BIRMINGHAM; AL; 35223; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 12/20/2010; 160; 160; SALE OF FIXED INSURANCE PRODUCTS|
CRS (Client Relationship Summary) - RIA
Click below to view James Thomas Murfee IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Thomas Murfee IV's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 27, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 120 Office Park Dr Ste 100, Birmingham, AL 35223RIA
BD
CRD#: 2882
Birmingham, AL
Current
December 20, 2010 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 120 Office Park Dr Ste 100, Birmingham, AL 35223RIA
BD
CRD#: 2882
Birmingham, AL
Past
May 24, 2006 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
BIRMINGHAM, AL
Past
May 24, 2006 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
BIRMINGHAM, AL
Past
January 12, 1999 - June 8, 2006
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
BIRMINGHAM, AL
Past
January 1, 1999 - June 8, 2006
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
BIRMINGHAM, AL
Past
August 15, 1994 - December 31, 1998
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
September 21, 1990 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
May 8, 1989 - August 27, 1990
F & G SECURITIES, INC.
BD
CRD#: 16364
Past
March 1, 1989 - June 17, 1989
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(1/7/2011)
IAR
Alabama(1/27/2011)
RR
Arkansas(7/29/2025)
RR
Florida(12/23/2010)
RR
Georgia(1/5/2011)
RR
Illinois(7/9/2020)
RR
Kentucky(1/4/2011)
RR
Louisiana(1/10/2011)
RR
Minnesota(9/23/2022)
RR
Mississippi(1/10/2011)
RR
North Carolina(5/11/2023)
RR
Ohio(1/4/2011)
RR
Oklahoma(8/11/2025)
RR
Pennsylvania(4/24/2019)
RR
South Carolina(4/15/2011)
RR
Tennessee(1/15/2019)
RR
Texas(1/18/2011)
IAR
Texas(4/30/2020)
RR
Virginia(11/3/2021)
RR
West Virginia(2/3/2021)
RR
Wyoming(3/18/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882Birmingham, AL 35223TRUST BUT VERIFY
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