Brian J. Murphy

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CRD#: 2813135

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian James Murphy was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1996. Brian had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START OCTOBER 2014, 15 HRS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS FIXED ANNUITIES.

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

December 12, 2014 - June 27, 2023

STONEFIELD INVESTMENT ADVISORY, INC.

RIA

CRD#: 113802

CEDAR RAPIDS, IA

Past

October 29, 2014 - March 14, 2019

CETERA ADVISORS LLC

CRD#: 10299

CEDAR RAPIDS, IA

Past

April 12, 2011 - December 31, 2011

SELK MURPHY FINANCIAL SERVICES

RIA

CRD#: 128507

CEDAR RAPIDS, IA

Past

March 11, 2011 - October 21, 2014

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

CEDAR RAPIDS, IA

Past

October 31, 2003 - October 21, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

CEDAR RAPIDS, IA

Past

October 28, 2003 - December 31, 2010

SELK MURPHY FINANCIAL SERVICES

RIA

CRD#: 128507

CEDAR RAPIDS, IA

Past

January 2, 2002 - September 13, 2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

January 1, 1999 - November 7, 2003

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

CEDAR RAPIDS, IA

Past

December 16, 1996 - November 7, 2003

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

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".

STONEFIELD INVESTMENT ADVISORY, INC.

CORNERSTONE CAPITAL MANAGEMENT, INC. | STONEFIELD INVESTMENT ADVISORY, INC.

CRD#: 113802 / SEC#: 801-134194

RIA

Registered Investment Advisory firm - (8/20/2025 Approved)

Colorado

Registered Investment Advisory firm - (6/29/2021 Terminated)

Florida

Registered Investment Advisory firm - (9/1/2025 Terminated)

Illinois

Registered Investment Advisory firm - (11/2/2018 Terminated)

Iowa

Registered Investment Advisory firm - (9/3/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (9/1/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (9/2/2025 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2008 Terminated)

Texas

Registered Investment Advisory firm - (9/1/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/19/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/19/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

STONEFIELD INVESTMENT ADVISORY, INC.

CORNERSTONE CAPITAL MANAGEMENT, INC. | STONEFIELD INVESTMENT ADVISORY, INC.

CRD#: 113802 / SEC#: 801-134194

RIA

Registered Investment Advisory firm - (8/20/2025 Approved)

Colorado

Registered Investment Advisory firm - (6/29/2021 Terminated)

Florida

Registered Investment Advisory firm - (9/1/2025 Terminated)

Illinois

Registered Investment Advisory firm - (11/2/2018 Terminated)

Iowa

Registered Investment Advisory firm - (9/3/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (9/1/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (9/2/2025 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2008 Terminated)

Texas

Registered Investment Advisory firm - (9/1/2025 Terminated)

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Contact information

Main Address

425 2nd Street Se Suite 1200, Cedar Rapids, IA 52401-1818

Mailing Address

Phone number

(319) 377-7811

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B (10/17/2025)

Regulatory assets under management

Total Number of Accounts	218
AUM (Assets Under Management)	$ 108,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Brian J. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

SELK MURPHY FINANCIAL SERVICES

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SELK MURPHY FINANCIAL SERVICES

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

Primary Firm SEC Registration

STONEFIELD INVESTMENT ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1996

Series 63

Date: 12/18/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/13/1996

Series 10

Date: 10/19/2000

Series 9

Date: 10/19/2000

Current Firm

STONEFIELD INVESTMENT ADVISORY, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONEFIELD INVESTMENT ADVISORY, INC.

TRUST BUT VERIFY

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