JM
John B. Murphy
CETERA INVESTMENT ADVISERS LLC
ROMOLAND, CA
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CRD#: 2332761
JM
Professional summary
John Bernard Murphy JR is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Romoland, California and CETERA ADVISORS LLC located in Romoland, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. INSURANCE, JM ASSOCIATES - DBA, SAME AS OFFICE ADDRESS 2. HEMET JEEP CLUB, PO BOX 841, HEMET, CA, 92546, SOCIAL CLUB, BOARD OF DIRECTORS, 1HR/WK. 3.NAME OF OTHER BUSINESS: DUNHAM TRUST. CO INVESTMENT RELATED: NO NATURE OF BUSINESS: ORIGINATORS AND MANAGERS OF TRUSTS ADDRESS: 241 RIDGE ST. STE 100 RENO, NV 89501 START DATE: 1/2017 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: REFERRING ADVISOR BRIEF DESCRIPTION OF DUTIES: REFER PROSPECTIVE CLIENTS LOOKING TO SET UP TRUSTS 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 1/2022; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND FIXED ANNUITIES; 5. NAME OF OTHER BUSINESS: THE HEMET JEEP CLUB; INVESTMENT RELATED: NO; ADDRESS: P O BOX 841 HEMET, CA 92546; NATURE OF BUSINESS: SOCIAL CLUB; START DATE: 02/2022; POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS/TREASURER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: HANDLE ACCUMULATION AND DISTRIBUTION OF CLUB FUNDS,EXPENSES, MAINTAIN BOOKS AND REPORTS FOR CLUB;
CRS (Client Relationship Summary) - RIA
Click below to view John Bernard Murphy JR'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ROMOLAND, CA
Current
November 9, 2010 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Romoland, CA
Past
November 9, 2010 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 27, 2005 - November 10, 2010
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
TEMECULA, CA
Past
January 3, 1995 - November 9, 2010
INVESTACORP, INC.
BD
CRD#: 7684
TEMECULA, CA
Past
December 22, 1993 - February 7, 1995
MONTANO SECURITIES CORPORATION
BD
CRD#: 7887
ORANGE, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
California(11/9/2010)
IAR
California(3/21/2024)
RR
Illinois(3/21/2011)
RR
Michigan(3/23/2011)
RR
Texas(4/2/2019)
IAR
Texas(3/21/2024)
RR
Utah(1/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
