Joi C. Murphy

MANAGED FINANCIAL SERVICES CORP

Houston, TX 77070

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CRD#: 3072454

Professional summary

Joi Catherine Murphy is a registered financial advisor currently at MANAGED FINANCIAL SERVICES CORP INC located in Houston, Texas.

Joi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Joi has worked at 5 firms and has passed the Series 63, Series 6, Series 28 and Series 26 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joi Catherine 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®

None

Experience

Current

December 10, 1999 - Present

MANAGED FINANCIAL SERVICES CORP INC

Office #1: 10330 Lake Road Suite U, Houston, TX 77070

RIA

CRD#: 109806

Houston, TX

Past

October 14, 2002 - March 10, 2010

MANAGED FINANCIAL BROKER SERVICES, L.L.C.

CRD#: 121400

HOUSTON, TX

Past

September 7, 1999 - December 3, 2002

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

October 14, 1998 - May 5, 1999

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

July 24, 1998 - September 29, 1998

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

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.

Highlighted states indicate IAR registrations

IAR

Texas
(12/10/1999)

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

Series 63

Date: 12/10/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/23/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 28

Date: 3/9/2002

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/6/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

MANAGED FINANCIAL SERVICES CORP INC

CRD#: 109806 / SEC#: 801-56058

RIA

Registered Investment Advisory firm - (8/24/2012 Terminated)

Louisiana

Registered Investment Advisory firm - (9/20/2012 Approved)

Maryland

Registered Investment Advisory firm - (6/11/2012 Terminated)

North Carolina

Registered Investment Advisory firm - (5/29/2012 Approved)

Texas

Registered Investment Advisory firm - (7/2/2012 Approved)

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).

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Contact information

Main Address

10330 Lake Road Suite U, Houston, TX 77070

Mailing Address

Phone number

(281) 880-7200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	358
AUM (Assets Under Management)	$ 56,655,508

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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Joi C. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joi Catherine Murphy's CRS (Customer Relationship Summary).

Certified licenses

Experience

MANAGED FINANCIAL SERVICES CORP INC

MANAGED FINANCIAL BROKER SERVICES, L.L.C.

SECURITIES SERVICE NETWORK, LLC

INVESCO DISTRIBUTORS, INC.

FISERV INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/10/1999

Series 6

Date: 7/23/1998

Series 28

Date: 3/9/2002

Series 26

Date: 9/6/2001

Current Firm

MANAGED FINANCIAL SERVICES CORP INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MANAGED FINANCIAL SERVICES CORP INC

TRUST BUT VERIFY

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