Thomas J. 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.
Thomas James Murphy was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2020 - December 31, 2021
CONSOLIDATED PORTFOLIO REVIEW CORP
October 26, 2018 - December 31, 2021
IMPACTU.INVESTMENTS, LLC
March 29, 2018 - December 31, 2021
VANDERBILT ADVISORY SERVICES
March 21, 2017 - December 31, 2021
VANDERBILT SECURITIES, LLC
June 24, 1977 - September 20, 2016
BISHOP, ROSEN & CO., INC.
Primary Firm SEC Registration
CONSOLIDATED PORTFOLIO REVIEW CORP
CRD#: 112694 / SEC#: 801-38795
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 4/1/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 8/4/1988
Foreign Currency Options ExaminationSeries 12
Date: 10/17/1981
NYSE Branch Manager ExaminationCurrent Firm
CONSOLIDATED PORTFOLIO REVIEW CORP
CRD#: 112694 / SEC#: 801-38795
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,821 |
| AUM (Assets Under Management) | $ 1,294,955,167 |
Red Flags
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