Robert J. Murphy
Professional summary
Robert James Murphy JR, CFP®, who also goes by Bob Murphy, is a registered financial advisor currently at UNITED ASSET STRATEGIES INC. located in Garden City, New York.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robert James Murphy JR's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2000
Experience
March 2, 2022 - Present
UNITED ASSET STRATEGIES INC.
Office #1: 377 Oak Street Suite 403, Garden City, NY 11530April 25, 2006 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 1, 2003 - January 11, 2021
TD AMERITRADE, INC.
November 23, 2000 - January 11, 2021
TD AMERITRADE, INC.
October 19, 1993 - January 12, 2001
CHARLES SCHWAB & CO., INC.
February 22, 1993 - October 1, 1993
BNY MELLON SECURITIES CORPORATION
October 16, 1992 - March 29, 1994
ROYCE INVESTMENT GROUP, INC.
Primary Firm SEC Registration
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/2/2022)
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 8
Date: 6/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,029 |
| AUM (Assets Under Management) | $ 1,844,600,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/13/2025 | ||
| 01/27/2025 | ||
| 09/04/2024 | ||
| 12/20/2023 | ||
| 01/23/2023 | ||
| 05/02/2022 |
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.
