Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas James Murphy is a registered investment advisor with Morgan Stanley. Thomas has been in the securities industry since 1976. Thomas has passed the Series 7, Series 5, and Series 63 exams and the SIE exam. Thomas is registered with the Securities and Exchange Commission and is also registered with the following state regulatory agencies: Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Kansas, Maine, Maryland, Massachusetts, Michigan, Missouri, Montana, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Utah, Vermont, Virginia, and Washington. Thomas also has experience with MORGAN STANLEY & CO. INCORPORATED, UBS FINANCIAL SERVICES INC., and PAINE, WEBBER, JACKSON & CURTIS INCORPORATED. Thomas currently works at the El Segundo, CA branch of Morgan Stanley.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
06/01/2009 - Present
Morgan Stanley (El Segundo CA)
CA
09/14/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LOS ANGELES CA)
CA
01/31/1980 - 09/25/2007
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
NA
09/22/1976 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BC
Issued 03/05/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/02/1977
PC - AMEX Put and Call Exam
BC
Issued 09/18/1976
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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