JD
James M. Dunphy
DUNPHY WEALTH MANAGEMENT
Cincinnati, OH 45230-4376
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CRD#: 4722688
JD
Professional summary
James Michael Dunphy, CFP®, who also goes by James M Dunphy, is a registered financial advisor currently at DUNPHY WEALTH MANAGEMENT, INC. located in Cincinnati, Ohio.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. James has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James M Dunphy
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.
TAX PREPARATION
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Dunphy'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®
CFP®
Start date: 1992
Experience
Current
November 19, 2003 - Present
DUNPHY WEALTH MANAGEMENT, INC.
Office #1: 1080 Nimitzview Drive Suite 302, Cincinnati, OH 45230-4376RIA
CRD#: 128622
Cincinnati, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Kentucky(5/5/2009)
IAR
Ohio(11/19/2003)
IAR
Texas(12/23/2019)
Exams
Current Firm
DW
DUNPHY WEALTH MANAGEMENT, INC.
DUNPHY FINANCIAL | DUNPHY WEALTH MANAGEMENT, INC. | DUNPHY FINANCIAL SERVICES, INC. | DUNPHY FINANCIAL SERVICES
CRD#: 128622 / SEC#:
Kentucky
Registered Investment Advisory firm - (5/5/2009 Approved)Ohio
Registered Investment Advisory firm - (11/18/2003 Approved)Texas
Registered Investment Advisory firm - (12/19/2019 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1080 Nimitzview Drive Suite 302, Cincinnati, OH 45230-4376
Mailing Address
Phone number
(513) 232-6333
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 13,364,494 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 12/18/2019 |
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
DUNPHY WEALTH MANAGEMENT, INC.
CRD#: 128622Cincinnati, OH 45230-4376TRUST BUT VERIFY
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