Mark J. Murphy

FEDERATED INVESTMENT COUNSELING

Highlands Ranch, CO

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CRD#: 1938612

Professional summary

Mark Joseph Murphy, AIF® is a registered financial advisor currently at FEDERATED INVESTMENT COUNSELING located in Highlands Ranch, Colorado and FEDERATED SECURITIES CORP. located in Highlands Ranch, Colorado.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Mark Joseph Murphy's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 20, 2008 - Present

FEDERATED INVESTMENT COUNSELING

RIA

CRD#: 105325

Highlands Ranch, CO

Current

November 11, 2009 - Present

FEDERATED SECURITIES CORP.

RIA

CRD#: 5009

Highlands Ranch, CO

Current

May 12, 2010 - Present

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

RIA

CRD#: 109355

Highlands Ranch, CO

Current

August 17, 2021 - Present

FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 106277

Highlands Ranch, CO

Current

October 17, 2008 - Present

FEDERATED SECURITIES CORP.

Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779

RIA

CRD#: 5009

Pittsburgh, PA

Past

October 18, 2007 - June 5, 2008

AMG DISTRIBUTORS, INC.

RIA

CRD#: 27314

HIGHLANDS RANCH, CO

Past

October 18, 2007 - June 5, 2008

AMG DISTRIBUTORS, INC.

CRD#: 27314

STAMFORD, CT

Past

March 4, 2005 - October 3, 2007

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

LITTLETON, CO

Past

December 16, 2004 - October 3, 2007

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

November 12, 1996 - December 3, 2004

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

ATLANTA, GA

Past

July 25, 1994 - March 11, 1996

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 24, 1989 - June 24, 1994

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

FEDERATED INVESTMENT COUNSELING

FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 Approved)

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.

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

Colorado
(10/17/2008)

IAR

Illinois
(10/14/2022)

IAR

Massachusetts
(5/12/2010)

IAR

New York
(8/17/2021)

IAR

Pennsylvania
(10/20/2008)

Utah
(10/17/2008)

Wyoming
(2/20/2009)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/3/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/4/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/13/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/23/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 Approved)

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Contact information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Mailing Address

Phone number

(412) 288-1900

Established

Firm type

Fiscal year end

# of Employees

213

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIC SUMMARY OF CHANGES (3/14/2025)

2025 FIC FORM ADV PART 2 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	8,579
AUM (Assets Under Management)	$ 199,641,239,415

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/11/2023	Cover Page	Report
07/29/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Mark J. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Joseph Murphy's CRS (Customer Relationship Summary).

Certified licenses

Experience

FEDERATED SECURITIES CORP.

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.

FEDERATED SECURITIES CORP.

AMG DISTRIBUTORS, INC.

AMG DISTRIBUTORS, INC.

PGIM INVESTMENTS LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

ENTERPRISE FUND DISTRIBUTORS, INC.

CAPITAL BROKERAGE CORPORATION

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

FEDERATED INVESTMENT COUNSELING

State Registrations and Notice Filings

Exams

Series 65

Date: 3/3/2005

Series 63

Date: 5/4/1989

SIE

Date: 10/1/2018

Series 7

Date: 7/13/2004

Series 6

Date: 10/23/1989

FINRA

Current Firm

FEDERATED INVESTMENT COUNSELING

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FEDERATED INVESTMENT COUNSELING

TRUST BUT VERIFY

Contact information

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