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James Walter Murphy

Oppenheimer & Co. Inc.

Chicago, IL

Northbrook, IL

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-07-26
  • IL RA
    APPROVED
    Since 2023-07-26

Branch Locations

500 West Madison Suite 3800, Chicago, IL 60661 • United States

Northbrook, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
B. Riley Wealth Management Chicago IL 03/2007 07/2023
B. Riley Wealth Advisors, Inc. Chicago IL 07/2022 07/2023
Oppenheimer & Co. Inc. Chicago IL 07/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-06
S63 Uniform Securities Agent State Law Examination 1996-11-15
  • S65 Uniform Investment Adviser Law Examination
    1996-12-06
  • S63 Uniform Securities Agent State Law Examination
    1996-11-15
Other Names
  • James W Murphy
  • Jim Murphy

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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