Gene R. Murphy

FOUR POINTS ADVISORS

Kingston, NY

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CRD#: 4739772

Professional summary

Gene Ryan Murphy, who also goes by Gene Ryan Murphy, Gene Murphy, is a registered financial advisor currently at FOUR POINTS ADVISORS, LLC located in Kingston, New York and FOUR POINTS CAPITAL PARTNERS LLC located in New York, New York.

Gene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Gene has worked at 12 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, Series 99TO, Series 62, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gene Ryan Murphy | Gene 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.

(1) FOUR POINTS ADVISORS, LLC: Investment related; 99 Park Avenue, 25th Floor, New York, NY 10016; Registered Investment Adviser; Manager; CEO/CCO; start 01/2015; 90 hour per month; 50 hours during trading. (2) FOUR POINTS INSURANCE AGENCY, LLC: Investment related; 99 Park Avenue, 25th Floor, New York, NY 10016; Insurance agency; Owner; start 11/2015; 2 hours per month; assist the entity in areas as an owner on an ad hoc basis. (3) FOUR POINTS CAPITAL PARTNERS, LLC: Investment related; 99 Park Avenue, 25th Floor, New York, NY 10016; Broker-dealer; Compliance, operations, and business development; start 04/2011; 10 hours per month; Assist with compliance, operations, and proposed business matters on an ad hoc basis. (4) COMPLIANCE RISK CONCEPTS, LLC ("CRC"): Investment related; 40 Exchange Place, Suite 402, New York, NY 10005; Compliance and regulatory consulting; Consultant; start 06/2018; 100 hours per month; 80 hours during trading; Outsourced CCO or principal, assist with interpretation of industry rules and implementation of procedures. (5) PROSPECT STREET HOLDINGS, LLC - Prospect Innovations LP Fund Series 1, Prospect Innovations LP Fund Series 2, and Prospect Innovations LP Fund Series 3; Kingston, NY; Investment Related; Started April 2022; Managing Member; Operations and business development.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Ryan Murphy's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 4, 2021 - Present

FOUR POINTS ADVISORS, LLC

Office #2: 99 Park Avenue Floor 8, New York, NY 10016

RIA

CRD#: 171720

Kingston, NY

Current

April 18, 2011 - Present

FOUR POINTS CAPITAL PARTNERS LLC

Office #1: 99 Park Avenue Suite 810, New York, NY 10016

CRD#: 43149

New York, NY

Past

December 21, 2021 - January 27, 2022

TCBI SECURITIES, INC.

CRD#: 313304

DALLAS, TX

Past

April 27, 2021 - July 29, 2022

PENNHAVEN BROKERAGE PARTNERS, LLC

CRD#: 309708

DOYLESTOWN, PA

Past

March 31, 2021 - January 18, 2022

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

RIA

CRD#: 147991

New York, NY

Past

March 31, 2021 - December 3, 2021

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

CRD#: 147991

LOS ANGELES, CA

Past

March 11, 2021 - June 21, 2021

MELIUS RESEARCH

RIA

CRD#: 312314

Yonkers, NY

Past

March 3, 2020 - September 28, 2020

ARLINGTON CAPITAL SERVICES, LLC

CRD#: 304588

BIRMINGHAM, AL

Past

March 2, 2020 - September 25, 2020

STOCKPILE INVESTMENTS, INC.

CRD#: 156170

SAN FRANCISCO, CA

Past

May 22, 2019 - April 3, 2020

IFP SECURITIES, LLC

CRD#: 297287

TAMPA, FL

Past

November 11, 2008 - May 14, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MT KISCO, NY

Past

May 7, 2008 - May 14, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MT KISCO, NY

Past

March 5, 2007 - April 8, 2008

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

January 9, 2004 - February 7, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

WHITE PLAINS, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FOUR POINTS ADVISORS, LLC

FOUR POINTS ADVISORS, LLC | PANTHER CAPITAL ADVISORY, LLC

CRD#: 171720 / SEC#: 801-118971

RIA

Registered Investment Advisory firm - (6/26/2020 Approved)

New York

Registered Investment Advisory firm - (7/1/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(12/11/2022)

New Jersey
(3/30/2023)

New York
(4/18/2011)

IAR

New York
(3/4/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/23/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/25/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/27/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/19/2012

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/15/2011

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FOUR POINTS ADVISORS, LLC

FOUR POINTS ADVISORS, LLC | PANTHER CAPITAL ADVISORY, LLC

CRD#: 171720 / SEC#: 801-118971

RIA

Registered Investment Advisory firm - (6/26/2020 Approved)

New York

Registered Investment Advisory firm - (7/1/2020 Terminated)

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Contact information

Main Address

99 Park Avenue Floor 8, New York, NY 10016

Mailing Address

Phone number

(646) 300-6129

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

11.03.2025_ADV PART 2 BROCHURE (11/3/2025)

Regulatory assets under management

Total Number of Accounts	131
AUM (Assets Under Management)	$ 36,999,793

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.

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Advisor Monitoring

Firm Stability Insights

Gene R. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Ryan Murphy's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUR POINTS CAPITAL PARTNERS LLC

TCBI SECURITIES, INC.

PENNHAVEN BROKERAGE PARTNERS, LLC

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

MELIUS RESEARCH

ARLINGTON CAPITAL SERVICES, LLC

STOCKPILE INVESTMENTS, INC.

IFP SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

OPPENHEIMER & CO. INC.

BROOKSTREET SECURITIES CORPORATION

Primary Firm SEC Registration

FOUR POINTS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/23/2014

Series 66

Date: 6/25/2008

Series 63

Date: 2/27/2004

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

Series 62

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/8/2004

Series 53

Date: 7/19/2012

Series 4

Date: 10/15/2011

Series 24

Date: 5/18/2011

FINRA

Current Firm

FOUR POINTS ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUR POINTS ADVISORS, LLC

TRUST BUT VERIFY

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