Kevin W. 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.
Kevin W. Murphy, who also goes by Kevin William Murphy, Kevin Murphy, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1993. Kevin had worked at 17 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2022 - October 5, 2022
J.P. MORGAN SECURITIES LLC
March 2, 2022 - October 5, 2022
J.P. MORGAN SECURITIES LLC
February 24, 2021 - January 3, 2022
BROOKSTONE CAPITAL MANAGEMENT LLC
December 3, 2020 - February 3, 2021
UNITED ADVISORS AMERICA
October 9, 2018 - March 19, 2019
CELADON FINANCIAL GROUP LLC
March 29, 2018 - June 29, 2018
TD AMERITRADE, INC.
March 29, 2018 - June 29, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 28, 2018 - June 29, 2018
TD AMERITRADE, INC.
July 31, 2017 - March 29, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
July 27, 2017 - March 29, 2018
ALLSTATE FINANCIAL SERVICES, LLC
April 6, 2017 - July 28, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 9, 2014 - March 13, 2015
HORACE MANN INVESTORS, INC.
February 27, 2014 - May 21, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 5, 2013 - May 21, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 4, 2013 - November 25, 2013
BEY-DOUGLAS, LLC INVESTMENT COUNSEL
August 5, 2004 - December 31, 2007
MURPHY CAPITAL ADVISORS, LLC
February 25, 2000 - November 8, 2002
NEOVEST TRADING
August 6, 1998 - December 21, 1999
RESOURCE SECURITIES CORPORATION
October 10, 1997 - June 5, 1998
J.C. BRADFORD & CO.
December 5, 1995 - September 16, 1997
PRUDENTIAL EQUITY GROUP, LLC
April 26, 1993 - November 14, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 6TO
Date: 3/7/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
