Thomas James Murphy
Professional Summary
Thomas James Murphy was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1977 - 2021. Thomas had worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 87, Series 55, Series 3, Series 15, Series 7, Series 9, Series 10, Series 14, Series 53, Series 24, Series 27, Series 4 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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
49 years in the financial services industry
Current & Past Employments
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Current Firm
3 DIMENSIONAL WEALTH ADVISORY | ZIRCON FINANCIAL PLANNING, LLC | VIRTUS WEALTH INC | VAUGHT WEALTH MANAGEMENT | THE VISPER GROUP, LLC | SUMMIT ADVISORS NW | STREAMLINE ASSET MANAGEMENT, LLC | STRATEGIC WEALTH ENDEAVOR INC | STONEFIELD WEALTH MANAGEMENT | STOLLER INVESTMENT ADVISORS, INC. | STOECKLEIN FINANCIAL SERVICES | STARR INVESTMENT SERVICES INC. | SEQUOIA WEALTH & RISK MANAGEMENT | SCOPO CAPITAL PLANNING | RED HORSE FINANCIAL GROUP | RANDALL WEALTH MANAGEMENT | RAMIREZ WEALTH MANAGEMENT | QUARTERS WEALTH MANAGEMENT LLC. | QUARTERS WEALTH MANAGEMENT LLC | PARAMOUNT FINANCIAL GROUP, LLC. | PACKARD ADVISORY SERVICES | OMNIWEALTH LLC | NATIONAL ONE ADVISORS | MARTINSON STOLLER ADVISORS | LEGACY SOLUTIONS WEALTH MANAGEMENT LLC | HEWITT PLANNING SERVICES | HATTIG FINANCIAL COMPANY | GRANITE CANYON WEALTH | GOLDEN ELDRIDGE FINANCIAL LLC | FINANCIAL RESOURCES INC. | FAMILY LEGACY ADVISORY GROUP | EDMONSON WEALTH MANAGEMENT | DELANCEY WEALTH MANAGEMENT | DALTON WEALTH GROUP | CONSOLIDATED PORTFOLIO REVIEW CORP | CHIAPPETTA FINANCIAL GROUP | CHAMBERLAIN GROUP | AVENUE WEALTH PARTNERS | AMERICAN CAPITAL ADVISORS, LLC | ACHILLE WEALTH PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT LLC | 3D WEALTH ADVISORY
Contact Information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797Phone Number
(631) 845-5100# of Employees
56SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
6,228AUM (Assets Under Management)
$1,591,860,061Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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Primary Firm SEC Registration
3 DIMENSIONAL WEALTH ADVISORY | ZIRCON FINANCIAL PLANNING, LLC | VIRTUS WEALTH INC | VAUGHT WEALTH MANAGEMENT | THE VISPER GROUP, LLC | SUMMIT ADVISORS NW | STREAMLINE ASSET MANAGEMENT, LLC | STRATEGIC WEALTH ENDEAVOR INC | STONEFIELD WEALTH MANAGEMENT | STOLLER INVESTMENT ADVISORS, INC. | STOECKLEIN FINANCIAL SERVICES | STARR INVESTMENT SERVICES INC. | SEQUOIA WEALTH & RISK MANAGEMENT | SCOPO CAPITAL PLANNING | RED HORSE FINANCIAL GROUP | RANDALL WEALTH MANAGEMENT | RAMIREZ WEALTH MANAGEMENT | QUARTERS WEALTH MANAGEMENT LLC. | QUARTERS WEALTH MANAGEMENT LLC | PARAMOUNT FINANCIAL GROUP, LLC. | PACKARD ADVISORY SERVICES | OMNIWEALTH LLC | NATIONAL ONE ADVISORS | MARTINSON STOLLER ADVISORS | LEGACY SOLUTIONS WEALTH MANAGEMENT LLC | HEWITT PLANNING SERVICES | HATTIG FINANCIAL COMPANY | GRANITE CANYON WEALTH | GOLDEN ELDRIDGE FINANCIAL LLC | FINANCIAL RESOURCES INC. | FAMILY LEGACY ADVISORY GROUP | EDMONSON WEALTH MANAGEMENT | DELANCEY WEALTH MANAGEMENT | DALTON WEALTH GROUP | CONSOLIDATED PORTFOLIO REVIEW CORP | CHIAPPETTA FINANCIAL GROUP | CHAMBERLAIN GROUP | AVENUE WEALTH PARTNERS | AMERICAN CAPITAL ADVISORS, LLC | ACHILLE WEALTH PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT LLC | 3D WEALTH ADVISORY
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Feb 2006About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000Series 15 — Foreign Currency Options Examination
Passed Aug 1988Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 12 — NYSE Branch Manager Examination
Passed Oct 1981Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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