Thomas M. Murphree
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.
Thomas Martin Murphree, who also goes by Thomas Martin Murphree III, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2010 - October 20, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 27, 2010 - July 13, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
January 27, 2010 - July 13, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 8, 2009 - December 3, 2009
LPL FINANCIAL LLC
June 8, 2009 - December 3, 2009
LPL FINANCIAL LLC
January 3, 2005 - May 28, 2009
TRUIST INVESTMENT SERVICES, INC.
January 3, 2005 - May 28, 2009
TRUIST INVESTMENT SERVICES, INC.
January 21, 2004 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
September 30, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
May 24, 2002 - September 30, 2002
INVEST FINANCIAL CORPORATION
January 10, 2002 - April 12, 2002
PFIC SECURITIES CORPORATION
February 9, 2001 - December 18, 2001
AMSOUTH INVESTMENT SERVICES, INC.
June 21, 1999 - July 16, 1999
FIRST HORIZON ADVISORS, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
