Kathryn 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.
Kathryn Elizabeth Murphy, who also goes by Kathryn Elizabeth Matlock, Kathryn Elizabeth Welchans, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2000. Kathryn had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2017 - July 2, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 21, 2017 - July 2, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 19, 2013 - July 2, 2015
EDWARD JONES
June 19, 2013 - July 2, 2015
EDWARD JONES
October 12, 2012 - December 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2012 - December 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 2007 - January 26, 2012
EDWARD JONES
August 24, 2005 - January 26, 2012
EDWARD JONES
January 24, 2003 - August 1, 2005
IDS LIFE INSURANCE COMPANY
January 24, 2003 - August 1, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
August 10, 2001 - May 17, 2002
CETERA INVESTMENT SERVICES LLC
June 20, 2000 - May 4, 2001
TD AMERITRADE CLEARING, INC.
May 3, 2000 - May 3, 2001
J.P. SECURITIES, INC.
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
Current 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.
