JM
James R. Murphy
CETERA INVESTMENT ADVISERS LLC
ACWORTH, GA
Some features on this profile are disabled
CRD#: 6684978
JM
Professional summary
James Raymond Murphy is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Acworth, Georgia and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
SALES OF INVESTMENT-RELATED PRODUCTS; PART-TIME OR FULL-TIME, FOR COMPANIES AFFILIATED WITH PFS INVESTMENTS INC. I MAY ALSO RECEIVE NON-INVESTMENT RELATED COMPENSATION FROM PRIMERICA MORTGAGE, LLC FOR THE SALE OF LOAN PRODUCTS AND/OR PRIMERICA CLIENT SERVICES, INC. (A CO-LOCATED AFFILIATE OF PFS INVESTMENTS INC.) FOR PART-TIME REFERRALS OF HOME SECURITY AND AUTOMATION PRODUCTS, AS WELL AS OTHER HOME RELATED SERVICES. MANAGEMENT/OPERATIONS OF INVESTMENT-RELATED PRODUCTS
CRS (Client Relationship Summary) - RIA
Click below to view James Raymond Murphy's 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®
NoneExperience
Current
August 1, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ACWORTH, GA
Current
July 28, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 15340
St Cloud, MN
Past
October 21, 2019 - July 19, 2022
PFS INVESTMENTS INC.
RIA
CRD#: 10111
DULUTH, GA
Past
October 18, 2019 - July 19, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
December 17, 2018 - June 20, 2019
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
Atlanta, GA
Past
June 26, 2017 - June 20, 2019
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
ATLANTA, GA
Past
August 31, 2016 - April 3, 2017
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
ATLANTA, GA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
Alabama(7/28/2022)
RR
Alaska(7/28/2022)
RR
Arizona(7/28/2022)
RR
Arkansas(7/28/2022)
RR
California(7/28/2022)
RR
Colorado(7/28/2022)
RR
Connecticut(7/28/2022)
RR
Delaware(7/28/2022)
RR
District of Columbia(7/28/2022)
RR
Florida(7/28/2022)
RR
Georgia(7/28/2022)
IAR
Georgia(8/1/2022)
RR
Hawaii(7/28/2022)
RR
Idaho(7/28/2022)
RR
Illinois(7/28/2022)
RR
Indiana(7/28/2022)
RR
Iowa(7/28/2022)
RR
Kansas(7/28/2022)
RR
Kentucky(7/28/2022)
RR
Louisiana(7/28/2022)
RR
Maine(7/28/2022)
RR
Maryland(7/28/2022)
RR
Massachusetts(7/28/2022)
RR
Michigan(7/28/2022)
RR
Minnesota(7/28/2022)
RR
Mississippi(7/28/2022)
RR
Missouri(7/28/2022)
RR
Montana(7/28/2022)
RR
Nebraska(7/28/2022)
RR
Nevada(7/28/2022)
RR
New Hampshire(7/28/2022)
RR
New Jersey(7/28/2022)
RR
New Mexico(7/28/2022)
RR
New York(7/28/2022)
RR
North Carolina(7/28/2022)
RR
North Dakota(7/28/2022)
RR
Ohio(7/29/2022)
RR
Oklahoma(7/28/2022)
RR
Oregon(7/28/2022)
RR
Pennsylvania(7/28/2022)
RR
Rhode Island(7/28/2022)
RR
South Carolina(7/28/2022)
RR
South Dakota(7/28/2022)
RR
Tennessee(7/28/2022)
RR
Texas(7/28/2022)
IAR
Texas(1/24/2023)
RR
Utah(7/28/2022)
RR
Vermont(7/28/2022)
RR
Virgin Islands(7/28/2022)
RR
Virginia(7/28/2022)
RR
Washington(7/28/2022)
RR
West Virginia(7/28/2022)
RR
Wisconsin(7/28/2022)
RR
Wyoming(7/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
