GM
Gregory Murphy
U.S. BANCORP INVESTMENTS
Greenwich, CT 06830
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CRD#: 2164163
GM
Professional summary
Gregory Murphy, who also goes by Gregory Thomas Murphy, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Greenwich, Connecticut.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Gregory has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregory Thomas 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.
Fairfield County Community Foundation; Not Investment-related; Norwalk, CT; Community foundation working as philanthropic partner for donors to nonprofits; Member of Professional Advisors Council; 12/2021; 1 hour/month; 0 hours/trading; Attend bi-annual meetings and discuss ways to help foundation. No direct responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Murphy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory 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®
NoneExperience
Current
October 7, 2021 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 222 Railroad Ave, Greenwich, CT 06830RIA
BD
CRD#: 17868
Greenwich, CT
Current
October 7, 2021 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 60 Livingston Ave, Saint Paul, MN 55107RIA
BD
CRD#: 17868
Saint Paul, MN
Past
October 12, 2017 - May 21, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WESTPORT, CT
Past
August 17, 2017 - May 21, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WESTPORT, CT
Past
June 8, 2009 - February 13, 2017
ICBC STANDARD SECURITIES INC.
BD
CRD#: 35560
NEW YORK, NY
Past
March 6, 2006 - November 18, 2008
AUERBACH GRAYSON & COMPANY LLC
BD
CRD#: 30761
NEW YORK, NY
Past
January 14, 2002 - February 24, 2006
INTERCAPITAL SECURITIES LLC
BD
CRD#: 20004
NEW YORK, NY
Past
June 2, 2000 - November 9, 2001
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
March 25, 1997 - October 28, 1998
SANTANDER INVESTMENT SECURITIES INC.
BD
CRD#: 37216
NEW YORK, NY
Past
April 20, 1995 - March 3, 1997
BBVA SECURITIES INC.
BD
CRD#: 27060
NEW YORK, NY
Past
May 12, 1993 - January 30, 1995
SCOTIA INTERNATIONAL, INC.
BD
CRD#: 23491
NEW YORK, NY
Past
September 16, 1991 - April 30, 1993
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
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".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Connecticut(10/7/2021)
IAR
Connecticut(10/7/2021)
RR
New York(10/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
