Sean J. 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.
Sean Joseph Murphy, who also goes by Sean Murphy, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2003. Sean had worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 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
March 25, 2022 - July 10, 2024
NORTHERN TRUST INVESTMENTS, INCORPORATED
March 25, 2022 - July 10, 2024
NORTHERN TRUST SECURITIES, INC.
December 28, 2015 - March 4, 2022
BLACKROCK INVESTMENT MANAGEMENT, LLC
June 26, 2014 - March 4, 2022
BLACKROCK INVESTMENTS, LLC
October 28, 2003 - July 3, 2014
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/21/2005
Limited Representative-Equity Trader ExamCurrent Firm
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,475 |
| AUM (Assets Under Management) | $ 1,114,770,223,733 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 09/27/2024 | ||
| 08/24/2023 |
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.
