James A. Murphy

ST. NICHOLAS PRIVATE ASSET MANAGEMENT

Jacksonville, FL 32216

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CRD#: 6324351

Professional summary

James A Murphy, who also goes by James Murphy, is a registered financial advisor currently at ST. NICHOLAS PRIVATE ASSET MANAGEMENT, INC. located in Jacksonville, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James 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.

HOLY FAMILY CATHOLIC CHURCH; NON INVESTMENT-RELATED; JACKSONVILLE, FL; FINANCE COMMITTEE MEMBER, START DATE 8/18/2023, 2 HR PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS TO REVIEW AND APPROVE CHURCH BUDGET.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James A 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

November 20, 2023 - Present

ST. NICHOLAS PRIVATE ASSET MANAGEMENT, INC.

Office #1: 6817 Southpoint Parkway Suite 1204, Jacksonville, FL 32216

RIA

CRD#: 132500

Jacksonville, FL

Past

July 21, 2023 - September 25, 2023

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

JACKSONVILLE, FL

Past

July 21, 2023 - September 25, 2023

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

JACKSONVILLE, FL

Past

January 19, 2021 - July 21, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

JACKSONVILLE, FL

Past

May 5, 2020 - December 31, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

JACKSONVILLE, FL

Past

April 27, 2020 - July 21, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

JACKSONVILLE, FL

Past

December 8, 2016 - May 9, 2020

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

JACKSONVILLE, FL

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".

ST. NICHOLAS PRIVATE ASSET MANAGEMENT, INC.

CRD#: 132500 / SEC#: 801-120978

RIA

Registered Investment Advisory firm - (4/29/2021 Approved)

Florida

Registered Investment Advisory firm - (10/31/2022 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.

Highlighted states indicate IAR registrations

IAR

Florida
(11/20/2023)

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

IAR

Series 65

Date: 7/14/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/6/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/8/2016

General Securities Representative Examination

Current Firm

ST. NICHOLAS PRIVATE ASSET MANAGEMENT, INC.

CRD#: 132500 / SEC#: 801-120978

RIA

Registered Investment Advisory firm - (4/29/2021 Approved)

Florida

Registered Investment Advisory firm - (10/31/2022 Terminated)

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Contact information

Main Address

6817 Southpoint Parkway Suite 1204, Jacksonville, FL 32216

Mailing Address

Phone number

(904) 470-0102

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ST. NICHOLAS 2025 ANNUAL AMENDMENT IA BROCHURE (1/16/2025)

Regulatory assets under management

Total Number of Accounts	150
AUM (Assets Under Management)	$ 152,000,000

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

James A. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James A Murphy's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

ST. NICHOLAS PRIVATE ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2020

Series 63

Date: 1/6/2017

SIE

Date: 10/1/2018

Series 7

Date: 12/8/2016

Current Firm

ST. NICHOLAS PRIVATE ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ST. NICHOLAS PRIVATE ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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