Timothy J. Murphy
Professional summary
Timothy John Murphy, who also goes by Timothy J Murphy, Timothy Murphy, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Timothy has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Timothy John Murphy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy John Murphy's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2013 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 400 S. Hope Street 20th Floor, Los Angeles, CA 90071October 14, 2013 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 400 S. Hope Street 20th Floor, Los Angeles, CA 90071April 1, 2004 - September 24, 2013
LAZARD ASSET MANAGEMENT SECURITIES LLC
February 17, 2003 - April 1, 2004
LAZARD FRERES & CO. LLC
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/15/2013)
(1/15/2019)
(10/14/2013)
(10/14/2013)
Exams
FINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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