Lauree J. Markham-murphy

Some features on this profile are disabled

CRD#: 5384438

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.

Lauree Jeanne Markham-murphy, CFP®, who also goes by Lauree Markham, Lauree Murphy, was a registered financial professional .

Lauree is a previously registered financial professional and started their career in finance in 2007. Lauree had worked at 5 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lauree Markham | Lauree 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

CRD#: 6413

SAN FRANCISCO, CA

Past

January 12, 2010 - January 11, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN FRANCISCO, CA

Past

August 28, 2007 - July 21, 2013

MURPHY FINANCIAL PLANNING

RIA

CRD#: 144597

EL GRANADA, CA

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".

MCCARTHY ASSET MANAGEMENT, INC.

MCCARTHY ASSET MANAGEMENT | MCCARTHY, STEPHEN PETER | MCCARTHY ASSET MANAGEMENT, INC.

CRD#: 118285 / SEC#: 801-60897

RIA

Registered Investment Advisory firm - (2/1/2002 Approved)

California

Registered Investment Advisory firm - (2/14/2002 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

Series 63

Date: 4/9/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/17/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 1/26/2010

General Securities Representative Examination

Current Firm

MCCARTHY ASSET MANAGEMENT, INC.

MCCARTHY ASSET MANAGEMENT | MCCARTHY, STEPHEN PETER | MCCARTHY ASSET MANAGEMENT, INC.

CRD#: 118285 / SEC#: 801-60897

RIA

Registered Investment Advisory firm - (2/1/2002 Approved)

California

Registered Investment Advisory firm - (2/14/2002 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3 Lagoon Drive, Suite 155, Redwood Shores, CA 94065

Mailing Address

Phone number

(650) 610-9540

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	829
AUM (Assets Under Management)	$ 377,857,588

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lauree J. Markham-murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MURPHY FINANCIAL PLANNING

NESTWISE LLC

GOSHO FINANCIAL GROUP

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MURPHY FINANCIAL PLANNING

Primary Firm SEC Registration

MCCARTHY ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/9/2010

Series 65

Date: 8/17/2007

Series 7

Date: 1/26/2010

Current Firm

MCCARTHY ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCCARTHY ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors