AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
PM

Phillip D. Murphy

Some features on this profile are disabled
CRD#: 2589244
PM

Professional summary

Phillip Dennis Murphy was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Phillip is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Phillip had worked at 4 firms, which includes WINTERS & CO. ADVISORS LLC, BANC OF AMERICA SECURITIES LLC, FIRST UNION CAPITAL MARKETS CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Murph 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 12, 2004 - May 11, 2012

WINTERS & CO. ADVISORS, LLC

RIA
CRD#: 130999
LOS ANGELES, CA
Past

October 5, 1998 - September 13, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

February 2, 1998 - June 4, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

February 27, 1995 - February 2, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 19002
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/11/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/6/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/24/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/5/1998
Municipal Securities Principal Examination

Current Firm

W&
WINTERS & CO. ADVISORS, LLC
WINTERS & CO. ADVISORS, LLC

CRD#: 130999 / SEC#:

Alabama
Registered Investment Advisory firm - (11/15/2019 Terminated)
Arkansas
Registered Investment Advisory firm - (11/30/2010 Terminated)
California
Registered Investment Advisory firm - (5/13/2004 Approved)
Colorado
Registered Investment Advisory firm - (4/15/2016 Terminated)
Connecticut
Registered Investment Advisory firm - (2/9/2021 Terminated)
Georgia
Registered Investment Advisory firm - (11/15/2019 Terminated)
Missouri
Registered Investment Advisory firm - (11/15/2019 Terminated)
Nebraska
Registered Investment Advisory firm - (1/7/2008 Terminated)
New Jersey
Registered Investment Advisory firm - (12/22/2009 Terminated)
New York
Registered Investment Advisory firm - (12/1/2020 Terminated)
North Carolina
Registered Investment Advisory firm - (11/18/2019 Terminated)
Pennsylvania
Registered Investment Advisory firm - (11/27/2019 Terminated)
Puerto Rico
Registered Investment Advisory firm - (12/31/2006 Terminated)
Texas
Registered Investment Advisory firm - (11/30/2020 Terminated)
Virginia
Registered Investment Advisory firm - (11/15/2019 Terminated)
Washington
Registered Investment Advisory firm - (12/15/2019 Terminated)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Los Angeles, CA
Mailing Address
Phone number
(310) 471-4040
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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.

Company Information

WINTERS & CO. ADVISORS, LLC

CRD#: 130999

TRUST BUT VERIFY

Monitor Phillip Murphy

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.