BM
Brock N. Murphy
TRANSAMERICA INVESTORS SECURITIES
SARASOTA, FL
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CRD#: 7515192
BM
Professional summary
Brock Nathaniel Nicholas Murphy, who also goes by Brock Murphy, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Sarasota, Florida.
Brock is registered as a RR (Registered Representative) and started their career in finance in 2022. Brock has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brock 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Brock Nathaniel Nicholas 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 8, 2022 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
SARASOTA, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(6/6/2023)
RR
Alaska(6/14/2023)
RR
Arizona(6/13/2023)
RR
Arkansas(6/8/2023)
RR
California(6/7/2023)
RR
Colorado(6/7/2023)
RR
Connecticut(6/6/2023)
RR
Delaware(6/14/2023)
RR
District of Columbia(6/20/2023)
RR
Florida(6/7/2023)
RR
Georgia(6/8/2023)
RR
Hawaii(8/1/2023)
RR
Idaho(6/7/2023)
RR
Illinois(6/13/2023)
RR
Indiana(6/8/2023)
RR
Iowa(9/20/2022)
RR
Kansas(6/6/2023)
RR
Kentucky(6/9/2023)
RR
Louisiana(6/6/2023)
RR
Maine(6/7/2023)
RR
Maryland(6/9/2023)
RR
Massachusetts(6/6/2023)
RR
Michigan(6/8/2023)
RR
Minnesota(6/7/2023)
RR
Mississippi(6/12/2023)
RR
Missouri(6/7/2023)
RR
Montana(6/14/2023)
RR
Nebraska(6/6/2023)
RR
Nevada(6/13/2023)
RR
New Hampshire(6/7/2023)
RR
New Jersey(6/6/2023)
RR
New Mexico(6/7/2023)
RR
New York(6/7/2023)
RR
North Carolina(6/7/2023)
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North Dakota(6/12/2023)
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Ohio(6/7/2023)
RR
Oklahoma(6/7/2023)
RR
Oregon(6/7/2023)
RR
Pennsylvania(6/7/2023)
RR
Puerto Rico(6/15/2023)
RR
Rhode Island(6/15/2023)
RR
South Carolina(6/8/2023)
RR
South Dakota(6/6/2023)
RR
Tennessee(6/8/2023)
RR
Texas(6/7/2023)
RR
Utah(6/7/2023)
RR
Vermont(6/8/2023)
RR
Virginia(6/7/2023)
RR
Washington(6/6/2023)
RR
West Virginia(6/12/2023)
RR
Wisconsin(6/13/2023)
RR
Wyoming(6/16/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/29/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TRANSAMERICA INVESTORS SECURITIES, LLC
DIVERSIFIED INVESTORS SECURITIES CORP. | TRANSAMERICA INVESTORS SECURITIES, LLC | TRANSAMERICA INVESTORS SECURITIES CORPORATION
CRD#: 32205 / SEC#: , 8-45671
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
440 Mamaroneck Avenue, Harrison, NY 10528
Mailing Address
440 Mamaroneck Avenue, Harrison, NY 10528
Phone number
(914) 627-3000
Established
Delaware since 12/31/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
