TM
Thomas J. Murphy
TJM INVESTMENTS
New York, NY 10016
Some features on this profile are disabled
CRD#: 857354
TM
Professional summary
Thomas James Murphy is a registered financial professional currently at TJM INVESTMENTS, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1981. Thomas has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas James 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
May 10, 1999 - Present
TJM INVESTMENTS, LLC
Office #1: 192 Lexington Avenue Suite 1203, New York, NY 10016Office #2: 318 W. Adams 9th Floor, Chicago, IL 60606Office #3: 137 Rowayton Ave Suite 101, Rowayton, CT 06853BD
CRD#: 46300
New York, NY
Past
October 23, 2009 - March 19, 2012
ONTHREE FUND SUBSIDIARY, LLC
BD
CRD#: 150503
CHICAGO, IL
Past
October 27, 2008 - December 22, 2011
303 EQUITY TRADING GROUP II, LLC
BD
CRD#: 147292
CHICAGO, IL
Past
June 26, 2001 - October 22, 2001
ON-SITE TRADING, INC.
BD
CRD#: 30271
GREAT NECK, NY
Past
October 4, 1999 - June 10, 2005
PRESTIGE FINANCIAL CENTER, INC.
BD
CRD#: 30407
NEW YORK, NY
Past
June 17, 1996 - May 27, 1999
RJO SECURITIES, INC.
BD
CRD#: 13586
CHICAGO, IL
Past
January 9, 1996 - May 15, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 12, 1981 - August 19, 1985
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
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
Arizona(1/6/2020)
RR
Arkansas(1/7/2020)
RR
California(1/7/2020)
RR
Colorado(1/2/2020)
RR
Connecticut(1/2/2020)
RR
Delaware(6/23/2020)
RR
District of Columbia(9/21/2022)
RR
Florida(1/18/2006)
RR
Georgia(8/26/2022)
RR
Illinois(1/3/2020)
RR
Indiana(1/13/2020)
RR
Louisiana(1/3/2020)
RR
Maryland(8/16/2022)
RR
Massachusetts(10/4/2022)
RR
Michigan(1/7/2020)
RR
Minnesota(2/19/2020)
RR
Mississippi(1/2/2020)
RR
Nevada(1/7/2020)
RR
New Jersey(3/18/2020)
RR
New Mexico(1/13/2020)
RR
New York(1/6/2020)
RR
North Carolina(1/7/2020)
RR
Ohio(1/2/2020)
RR
Oklahoma(1/9/2020)
RR
Pennsylvania(8/11/2022)
RR
South Carolina(1/6/2020)
RR
Tennessee(8/12/2022)
RR
Texas(1/18/2006)
RR
Utah(7/15/2020)
RR
Virginia(1/6/2020)
RR
Washington(1/6/2020)
RR
Wisconsin(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
TI
TJM INVESTMENTS, LLC
MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
318 W. Adams Street Suite 900, Chicago, IL 60606
Mailing Address
318 W. Adams Street 9th Floor, Chicago, IL 60606
Phone number
(312) 432-5100
Established
Illinois since 10/13/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
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.
