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George Joseph Murphy

CRD# 5971892·Registered 2011 - 2015
Previously Registered: Being a previously registered professional could mean that George 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.

Professional Summary

George Joseph Murphy, who also goes by George Murphy, Jay Murphy, was a registered financial advisor. George was a previously registered financial professional and started their career in finance 2011 - 2015. George had worked at 2 firms and has passed the SIE, Series 87, Series 86 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

George Murphy, Jay Murphy

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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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Years of Experience

15 years in the financial services industry

Current & Past Employments

FMV CAPITAL MARKETS, LLC·CRD# 149974
BD
Irvine, CA
June 20, 2014 - June 1, 2015
WM SMITH & CO.·CRD# 30777
BD
Denver, CO
October 14, 2011 - May 22, 2012

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Current Firm

FC
FMV CAPITAL MARKETS, LLC

FMV CAPITAL MARKETS, INC | FMV CAPITAL MARKETS, LLC

CRD#: 149974 / SEC#: 8-68207
BD
Terminated by SEC on 04/22/2017

Contact Information

Established

California since 06/23/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FMV OPINIONS, INC.MEMBER—
SIPOSS, ALLAN ANTHONYSHAREHOLDER4298385
DENNEY, NICOLETTE IRISAFINANCIAL OPERATIONS OFFICER1090644
HALL, LANCE STUARTPRESIDENT/CCO5665286

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Jun 2015About the SIE exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Dec 2011About the Series 87 exam

Series 86 — Research Analyst Exam - Part I Analysis Module

Passed Nov 2011About the Series 86 exam

Series 7 — General Securities Representative Examination

Passed Oct 2011About the Series 7 exam

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CRS (Client Relationship Summary)

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

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