AdFi
JM

James Michael Murphy

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Omaha, NECRD #5499485Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
16 yrs
States Registered
53 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 53 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 11/28/2011
Series 63
Uniform Securities Agent State Law Examination
Passed 5/5/2008
SIE
Securities Industry Essentials Examination
Passed 9/7/2018
Series 7
General Securities Representative Examination
Passed 7/5/2010
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 3/26/2008

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
6/10/2025Omaha, NE
TLG ADVISORS, INC.
7/14/20215/28/2025Omaha, NE
CORECAP ADVISORS
4/23/20204/1/2021Council Bluffs, IA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
7/20/20179/7/2018Omaha, NE
TD AMERITRADE, INC.
7/20/20179/7/2018Omaha, NE
BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS
5/12/20157/18/2017Harlan, IA
WELLS FARGO ADVISORS, LLC
12/5/20116/5/2014Omaha, NE

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Michael Murphy has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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