GM
Gregory T. Murphy
U.S. BANCORP ADVISORS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2164163
GM
Gregory Thomas MurphyU.S. BANCORP ADVISORS
Professional summary
Gregory Thomas Murphy, who also goes by Gregory Murphy, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC 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 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 24 exams.
Aliases
Gregory 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 Thomas Murphy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Thomas 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
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 222 Railroad Avenue, Greenwich, CT 06830RIA
BD
CRD#: 14455
Greenwich, CT
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 60 Livingston Ave, Saint Paul, MN 55107RIA
BD
CRD#: 14455
Saint Paul, MN
Past
October 7, 2021 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Greenwich, CT
Past
October 7, 2021 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
NEW YORK, NY
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 ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 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(2/13/2026)
IAR
Connecticut(2/13/2026)
RR
New York(2/13/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 10
Passed: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Loading...
Contact information
Main Address
60 Livingston Ave Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Ave Ep-mn-n2wc, St. Paul, MN 55107
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
379
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| ARIAS, CARLOS ALONSO | MANAGER | 3174333 |
| BEJASA, EILEEN | MANAGER | 7002808 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER AND MANAGER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | MANAGER | 4120145 |
| FLOUM, JOEL IRA | MANAGER | 2405754 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MENACHER, EILEEN RENEE | MANAGER | 4929896 |
| ROLLAND, JODI THOMPSON | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER AND MANAGER | 5025315 |
| STEINER, STEPHEN WARD | CHIEF OPERATIONS OFFICER AND MANAGER | 2259345 |
| TRIPLETT, SHANE T | MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,992 |
| AUM (Assets Under Management) | $ 1,796,069,079 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 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.
