James Michael Dunphy
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James M Dunphy
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
DUNPHY FINANCIAL | DUNPHY WEALTH MANAGEMENT, INC. | DUNPHY FINANCIAL SERVICES, INC. | DUNPHY FINANCIAL SERVICES
Contact Information
Main Address
1080 Nimitzview Drive Suite 302, Cincinnati, OH 45230-4376Phone Number
(513) 232-6333# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
109AUM (Assets Under Management)
$13,486,083Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 12/18/2019 |
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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.
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State Registrations and Notice Filings
(5/5/2009)
(11/19/2003)
(12/23/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view James Michael Dunphy's CRS (Customer Relationship Summary).
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