MM
Michael C. Murphy
DWS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4567273
MM
Professional summary
Michael Cronin Murphy, who also goes by Michael Murphy, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael 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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Cronin 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®
NoneExperience
Current
June 9, 2022 - Present
DWS DISTRIBUTORS, INC.
Office #1: 222 South Riverside Plaza, Chicago, IL 60606BD
CRD#: 37306
Chicago, IL
Past
January 23, 2018 - February 23, 2022
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
BD
CRD#: 119546
DENVER, CO
Past
January 4, 2017 - January 31, 2018
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
Chicago, IL
Past
May 2, 2016 - January 31, 2018
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
July 9, 2012 - May 4, 2016
INCAPITAL DISTRIBUTORS LLC
BD
CRD#: 156622
CHICAGO, IL
Past
March 26, 2012 - May 4, 2016
INSPEREX LLC
BD
CRD#: 101420
BOCA RATON, FL
Past
February 25, 2011 - March 9, 2012
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
ATLANTA, GA
Past
June 1, 2010 - March 9, 2012
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
OAKBROOK TERRACE, IL
Past
September 15, 2006 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
OAKBROOK TERRACE, IL
Past
July 6, 2005 - August 7, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PARK RIDGE, IL
Past
October 2, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
January 2, 2003 - June 2, 2003
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/17/2024)
RR
Alaska(5/9/2024)
RR
Arizona(5/9/2024)
RR
Arkansas(5/9/2024)
RR
California(5/7/2024)
RR
Colorado(5/9/2024)
RR
Connecticut(5/9/2024)
RR
Delaware(5/9/2024)
RR
District of Columbia(5/9/2024)
RR
Florida(5/7/2024)
RR
Georgia(5/9/2024)
RR
Hawaii(5/9/2024)
RR
Idaho(5/9/2024)
RR
Illinois(6/9/2022)
RR
Indiana(6/9/2022)
RR
Iowa(5/7/2024)
RR
Kansas(5/7/2024)
RR
Kentucky(1/9/2024)
RR
Louisiana(5/9/2024)
RR
Maine(5/9/2024)
RR
Maryland(5/9/2024)
RR
Massachusetts(5/9/2024)
RR
Michigan(1/9/2024)
RR
Minnesota(8/4/2022)
RR
Mississippi(5/9/2024)
RR
Missouri(6/9/2022)
RR
Montana(5/9/2024)
RR
Nebraska(4/17/2024)
RR
Nevada(5/9/2024)
RR
New Hampshire(5/9/2024)
RR
New Jersey(5/9/2024)
RR
New Mexico(5/9/2024)
RR
New York(5/9/2024)
RR
North Carolina(5/9/2024)
RR
North Dakota(6/9/2022)
RR
Ohio(1/9/2024)
RR
Oklahoma(4/17/2024)
RR
Oregon(5/9/2024)
RR
Pennsylvania(5/9/2024)
RR
Puerto Rico(5/9/2024)
RR
Rhode Island(5/9/2024)
RR
South Carolina(5/9/2024)
RR
South Dakota(6/9/2022)
RR
Tennessee(5/7/2024)
RR
Texas(4/17/2024)
RR
Utah(5/9/2024)
RR
Vermont(5/9/2024)
RR
Virgin Islands(5/9/2024)
RR
Virginia(5/9/2024)
RR
Washington(5/9/2024)
RR
West Virginia(1/9/2024)
RR
Wisconsin(6/9/2022)
RR
Wyoming(5/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
