Gregory V. Murphy
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.
Gregory Vincent Murphy, who also goes by Gregory Murphy, VIncent Gregory Murphy, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1981. Gregory had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2008 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 23, 2008 - January 11, 2021
TD AMERITRADE, INC.
December 1, 2008 - January 11, 2021
TD AMERITRADE, INC.
June 30, 2006 - October 31, 2007
MORGAN STANLEY DISTRIBUTION, INC.
February 3, 2003 - July 11, 2006
MORGAN STANLEY & CO. LLC
January 22, 1990 - January 17, 2003
MORGAN STANLEY DW INC.
April 11, 1988 - July 3, 1989
LEHMAN BROTHERS INC.
May 18, 1981 - April 11, 1988
E. F. HUTTON & COMPANY 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
Exams
Series 7TO
Date: 12/1/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
