John M. Murphy

BERENBERG CAPITAL MARKETS LLC

NEW YORK, NY 10020

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CRD#: 1975663

Professional summary

John M Murphy, who also goes by John M. Murphy, John Murphy, is a registered financial professional currently at BERENBERG CAPITAL MARKETS LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 14 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 14, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John M. Murphy | John Murphy

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) - BD

Click below to view John M Murphy'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®

None

Experience

Current

October 16, 2024 - Present

BERENBERG CAPITAL MARKETS LLC

Office #1: 1251 Avenue Of The Americas 53rd Floor, New York, NY 10020Office #2: 1251 Avenue Of The Americas 53rd Floor, New York, NY 10020

CRD#: 156757

NEW YORK, NY

Past

August 5, 2024 - October 30, 2024

ELSEWARE FINANCIAL SERVICES LLC

CRD#: 327555

NEW YORK, NY

Past

January 24, 2022 - January 5, 2024

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

November 4, 2019 - November 22, 2021

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

December 15, 2017 - June 14, 2019

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

July 13, 2016 - August 21, 2017

ARXIS SECURITIES LLC

CRD#: 172506

NEW YORK, NY

Past

November 12, 2014 - July 19, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

December 21, 2012 - October 14, 2014

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 15, 2010 - November 21, 2012

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

October 31, 2008 - November 1, 2010

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

October 25, 2006 - October 24, 2008

G-TRADE SERVICES LLC

CRD#: 140314

NEW YORK, NY

Past

February 6, 2006 - November 9, 2006

PERSHING LLC

CRD#: 7560

NEW YORK, NY

Past

February 23, 2004 - January 25, 2006

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

March 24, 2000 - March 18, 2002

ARCHIPELAGO SECURITIES L.L.C.

CRD#: 102500

CHICAGO, IL

Past

January 25, 1999 - January 26, 2004

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(10/16/2024)

Florida
(10/16/2024)

Illinois
(10/16/2024)

Louisiana
(10/16/2024)

Maryland
(10/16/2024)

Massachusetts
(10/16/2024)

New York
(10/16/2024)

Ohio
(10/17/2024)

Oregon
(10/16/2024)

Tennessee
(10/16/2024)

Texas
(10/16/2024)

Virginia
(10/16/2024)

Washington
(10/16/2024)

Exams

State Security Law Exam

Series 63

Date: 2/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 8/5/2024

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/12/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 12/17/1994

National Commodity Futures Examination

Principal/Supervisory Exam

Series 14

Date: 8/5/2024

Compliance Officer Examination

Principal/Supervisory Exam

Series 9

Date: 1/29/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/23/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/1999

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

BERENBERG CAPITAL MARKETS LLC

CRD#: 156757 / SEC#: , 8-68821

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1251 Avenue Of The Americas 53rd Floor, New York, NY 10020

Mailing Address

1251 Avenue Of The Americas 53rd Floor, New York, NY 10020

Phone number

(646) 949-9000

Established

Delaware since 12/08/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BERENBERG ASSET MANAGEMENT LLC	MEMBER	171274
BRANTLY, ZACHARY DALTON	BOARD MEMBER	6343999
MURPHY, JOHN M	CHIEF COMPLIANCE OFFICER	1975663
SCHWARTAU, LARS	BOARD MEMBER	6483384
SHAMALOV, GREGORY	FINOP	7664290

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.

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Advisor Monitoring

Firm Stability Insights

John M. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John M Murphy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELSEWARE FINANCIAL SERVICES LLC

BARCLAYS CAPITAL INC.

UBS SECURITIES LLC

BNP PARIBAS SECURITIES CORP.

ARXIS SECURITIES LLC

HSBC SECURITIES (USA) INC.

MORGAN STANLEY & CO. LLC

SG AMERICAS SECURITIES, LLC

PERSHING LLC

G-TRADE SERVICES LLC

PERSHING LLC

GOLDMAN SACHS & CO. LLC

ARCHIPELAGO SECURITIES L.L.C.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/25/2000

Series 99TO

Date: 8/5/2024

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/12/1999

Series 3

Date: 12/17/1994

Series 14

Date: 8/5/2024

Series 9

Date: 1/29/2001

Series 10

Date: 1/23/2001

Series 24

Date: 4/21/1999

FINRA

Nasdaq Stock Market

Current Firm

BERENBERG CAPITAL MARKETS LLC

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BERENBERG CAPITAL MARKETS LLC

TRUST BUT VERIFY

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