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Thomas N. Murphy

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CRD#: 4519183
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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 N Murphy, who also goes by Thomas N. Murphy, Tom Murphy, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2009. Thomas had worked at 3 firms and has passed the Series 99TO, SIE, Series 28 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas N. Murphy | Tom Murphy

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 27, 2018 - May 9, 2025

RBC CMA LTD

BD
CRD#: 121263
NEW YORK, NY
Past

October 21, 2016 - May 9, 2025

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

December 17, 2009 - July 5, 2016

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/16/2009
Financial and Operations Principal Examination

Current Firm

RC
RBC CMA LTD
RBC CAPITAL MARKETS ARBITRAGE, S.A. | RBC CMA LTD | RBC CMA LLC

CRD#: 121263 / SEC#: , 8-65401

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
Walkers Corporate (bvi) Limited 171 Main Street, Po Box 92 Road Town, Tortola,, FOREIGN
Mailing Address
3 World Financial Center 200 Vesey Street - 14th Floor, New York, NY 10281
Phone number
(212) 858-7000
Established
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ROYAL BANK HOLDING INC.DIRECT OWNER
GRANNIS, JOHNCHIEF OPERATING OFFICER2934841
JASNOSZ, MICHAEL EDWARDCHIEF COMPLIANCE OFFICER4386029
JIANG, HEPRINCIPAL OPERATIONS OFFICER5107323
MANNING, THOMAS JAMES IVPRESIDENT, CEO5182531
PODYMA, LIDIA ANETAPRINCIPAL FINANCIAL OFFICER5764487
ROSENBAUM, DANIEL PHILIPCHAIRMAN OF THE BOARD2797995

Disclosures

Regulatory Event6

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

RBC CMA LTD

CRD#: 121263

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