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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

James Michael Murphy

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OMAHA, NE

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 5, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 5, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: May 5, 2008
First registration: Dec 5, 2011
Dual registered: yes, broker-dealer
Other names: JAMES M MURPHY|JAMES M MURPHY|J MURPHY Jr|James Michael Murphy|James Michael Murphy
IAPD individual key: 5499485

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 10, 2025	n/a	yes	OMAHA, NE	Current employment
TLG ADVISORS, INC.	Bd affiliated wealth	Jul 14, 2021	May 28, 2025	no	Omaha, NE\|SUMMIT, NJ\|Council Bluffs, IA\|Omaha, NE	Previous registration
CORECAP ADVISORS	Bd affiliated wealth	Apr 23, 2020	Apr 1, 2021	no	SOUTHFIELD, MI\|Council Bluffs, IA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 20, 2017	Sep 7, 2018	no	Omaha, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 20, 2017	Sep 7, 2018	no	Omaha, NE	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	May 12, 2015	Jul 18, 2017	no	HARLAN, IA\|WOODBINE, IA\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|LA VISTA, NE\|FREMONT, NE\|BELLEVUE, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 5, 2011	Jun 5, 2014	no	OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TLG ADVISORS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 28, 2025	Jun 10, 2025	13	Firm change	Ibd to wirehouse
CORECAP ADVISORS	TLG ADVISORS, INC.	Apr 1, 2021	Jul 14, 2021	104	Firm change	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Sep 7, 2018	Jul 20, 2017	-414	Channel change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Sep 7, 2018	Jul 20, 2017	-414	Firm change after gap	Other
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	TD AMERITRADE, INC.	Jul 18, 2017	Jul 20, 2017	2	Firm change	Other
WELLS FARGO ADVISORS	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Jun 5, 2014	May 12, 2015	341	Firm change	Other

Relationships

Registered with (7)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jun 10, 2025 to presentfactForm ADV
→ TLG ADVISORS, INC.Registered adviserregistration: previous registration
Jul 14, 2021 to May 28, 2025factForm ADV
→ CORECAP ADVISORSRegistered adviserregistration: previous registration
Apr 23, 2020 to Apr 1, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 20, 2017 to Sep 7, 2018factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 20, 2017 to Sep 7, 2018factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
May 12, 2015 to Jul 18, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 5, 2011 to Jun 5, 2014factForm ADV

Dated events

Occurred
May 28, 2025
Advisor changed firm
James Michael Murphy left Tlg Advisors, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-06-10)
Form ADVobserved 4 days ago