Michael E. Murphy
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.
Michael Edward Murphy was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1968. Michael had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - December 31, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 19, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 3, 1998 - December 31, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 19, 1989 - April 7, 1998
OSAIC WEALTH, INC.
March 19, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 10, 1984 - March 24, 1987
LOWRY FINANCIAL SERVICES CORPORATION
January 1, 1984 - August 6, 1984
CARDELL & ASSOCIATES, INCORPORATED
July 2, 1982 - December 27, 1983
GUARDIAN INVESTOR SERVICES LLC
May 24, 1971 - April 8, 1987
MONY SECURITIES CORPORATION
November 14, 1968 - September 11, 1981
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 1
Date: 9/25/1968
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
