DM
David B. Murphy
CETERA INVESTMENT ADVISERS LLC
CARTHAGE, TX 75633
Some features on this profile are disabled
CRD#: 2833525
DM
Professional summary
David Brian Murphy is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Carthage, Texas and CETERA INVESTMENT SERVICES LLC located in Carthage, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. David has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 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.)GENERAL PARTNER-MURPHY BROTHERS PARTNERSHIP (TREE FARM) GROW AND HARVEST HARDWOOD TIMBER. LESS THAN ONE HOUR PER WEEK. 2.)BOARD OF DIRECTORS - FIRST STATE BANK & TRUST COMPANY & CARTHAGE STATE BANCSHARES, INC. NO INVESTMENT RELATED ACTIVITY IS ANTICIPATED. 3.)GENERAL PARTNER - MURPHY-PAYNE INVESTMENTS, LTD. -FAMILY LIMITED PARTNERSHIP FOR THE SOLE PURPOSE OF HOLDING THE STOCK OF CARTHAGE STATE BANCSHARES, INC. 4.)CARTHAGE BANCSHARES - DIRECTOR. 5.)FIRST STATE BANK, TRUST OFFICER, NOT INVOLVED IN INVESTMENT DECISIONS, PROCESSES TRADES THRU CETERA; 6.)MURPHY PAYNE PROPERTIES LTD, PARTNERSHIP IN FAMILY BUSINESS. 7.) 7/14/2011 UNITED FUND OF PANOLA COUNTY, PRESIDENT, 2 HOURS/WK, NO COMPENSATION, NON-INVESTMENT RELATED" 8.) FIRST STATE BANK & TRUST, CEO & CHAIRMAN OF THE BOARD, DUAL EMPLOYEE, LISTENS IN ON DISCUSSIONS, NO VOTING, NO INVESTMENT DECISIONS MADE 9.) TREASURER FOR PANOLA COUNTY CHAMBER OF COMMERCE PANOLA COUNTY TX, PROMOTE & ENCOURAGE NEW AND EXISTING BUSINESS IN PANOLA COUNTY, DOES NOT HAVE ACCESS TO BANK ACCOUNTS, CHECK WRITING PRIVILEGES IN DUAL CAPACITY, 1/HR/MO; 10.) EXECUTOR OF ESTATE FOR PARENTS (MARY PAYNE MURPHY AND FOSTER MURPHY) 11.) CHAIRMAN OF THE BOARD FOR BROADMOOR BAPTIST CHURCH, 1/HR/WK
CRS (Client Relationship Summary) - RIA
Click below to view David Brian 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
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 110 West Panola, Carthage, TX 75633RIA
CRD#: 105644
CARTHAGE, TX
Current
November 11, 2004 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 110 West Panola, Carthage, TX 75633BD
CRD#: 15340
Carthage, TX
Past
February 1, 2005 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
CARTHAGE, TX
Past
February 10, 1997 - August 20, 2004
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
SHREVEPORT, LA
Past
January 1, 1997 - August 20, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Colorado(6/27/2016)
RR
Louisiana(11/15/2004)
RR
Missouri(9/24/2009)
RR
Oklahoma(9/26/2013)
RR
Texas(11/29/2004)
IAR
Texas(1/21/2014)
RR
Virginia(11/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Carthage, TX 75633TRUST BUT VERIFY
Monitor David Murphy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
