James H. Murphy
Professional summary
James Hideki Murphy, who also goes by James H Murphy, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Los Altos, California.
James is registered as a RR (Registered Representative) and started their career in finance in 2008. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Hideki Murphy's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2018 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 240 Third Street Suite 110, Los Altos, CA 94022March 12, 2012 - May 5, 2017
SANCTUARY SECURITIES LLC
June 1, 2009 - March 6, 2012
MORGAN STANLEY
June 1, 2009 - March 6, 2012
MORGAN STANLEY
February 5, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 26, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/27/2018)
Exams
FINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Company Information
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747Los Altos, CA 94022TRUST BUT VERIFY
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