James Thomas Murphy

Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2021-09-07
TX	RA	APPROVED	2021-09-07

NC RA
APPROVED

Since 2021-09-07
TX RA
APPROVED

Since 2021-09-07

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • 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

Organization	City	State	From	To
Northwestern Mutual	Melville	NY	06/2015	05/2017
King Kullen Grocery	Bayshore	NY	05/2017	08/2017
Penn Mutual Life Insurance Co	Hauppauge	NY	08/2017	01/2018
Utica College	Utica	NY	08/2013	05/2017
Axa Advisors, Llc	Woodbury	NY	02/2018	05/2019
Mass Mutual Life Insurance Co	Hauppauge	NY	10/2018	06/2021
Mml Investors Services, Llc	Hauppauge	NY	06/2019	06/2021
Utica College	Utica	NY	08/2014	05/2017
Hornor, Townsend & Kent, Inc.	Hauppauge	NY	06/2017	01/2018
The Vanguard Group, Inc.	Charlotte	NC	06/2021	Present
Vanguard Marketing Corporation	Charlotte	NC	06/2021	Present
Vanguard Advisers, Inc.	Charlotte	NC	05/2025	Present

06/2015 → 05/2017

Northwestern Mutual

Melville, NY
05/2017 → 08/2017

King Kullen Grocery

Bayshore, NY
08/2017 → 01/2018

Penn Mutual Life Insurance Co

Hauppauge, NY
08/2013 → 05/2017

Utica College

Utica, NY
02/2018 → 05/2019

Axa Advisors, Llc

Woodbury, NY
10/2018 → 06/2021

Mass Mutual Life Insurance Co

Hauppauge, NY
06/2019 → 06/2021

Mml Investors Services, Llc

Hauppauge, NY
08/2014 → 05/2017

Utica College

Utica, NY
06/2017 → 01/2018

Hornor, Townsend & Kent, Inc.

Hauppauge, NY
06/2021 → Present

The Vanguard Group, Inc.

Charlotte, NC
06/2021 → Present

Vanguard Marketing Corporation

Charlotte, NC
05/2025 → Present

Vanguard Advisers, Inc.

Charlotte, NC

Other Businesses

NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT RELATED ADDRESS: HILTON HEAD, SC NATURE OF BUSINESS: REAL ESTATE POSITION: LANDLORD/OWNER START DATE: 09/2024 APPROXIMATE HOURS/MONTH: 4 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: AIRBNB HOSTING

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-08-30
S63	Uniform Securities Agent State Law Examination	2017-08-08

S66 Uniform Combined State Law Examination

2021-08-30
S63 Uniform Securities Agent State Law Examination

2017-08-08

View on SEC IAPD