James Michael Murphy

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2009-10-05
TX	RA	APPROVED_RES	2009-10-05

FL RA
APPROVED

Since 2009-10-05
TX RA
APPROVED_RES

Since 2009-10-05

Branch Locations

3801 Pga Blvd Ste 500, Palm Beach Gardens, FL 33410 • United States

Lake Worth, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Palm Beach Gardens	FL	10/2009	03/2020
Ameriprise Financial Services, Inc.	Palm Beach Gardens	FL	10/2009	03/2020
Ameriprise Financial Services, Llc	Palm Beach Gardens	FL	03/2020	Present

10/2009 → 03/2020

Ameriprise Financial Services, Inc.

Palm Beach Gardens, FL
10/2009 → 03/2020

Ameriprise Financial Services, Inc.

Palm Beach Gardens, FL
03/2020 → Present

Ameriprise Financial Services, Llc

Palm Beach Gardens, FL

Previous Registrations

2009-04-29 → 2009-10-05

Ameriprise Advisor Services, Inc.

Palm Beach Gardens, FL
1997-01-29 → 2009-04-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palm Beach, FL

Palm Beach, FL

Other Businesses

Real Estate Ownership; Single Family; 6265 Shawnee Ln, , Lake Worth, FL, 33462; Investment-Related; 05/30/2010.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-03-24
S63	Uniform Securities Agent State Law Examination	1992-06-09

S65 Uniform Investment Adviser Law Examination

1997-03-24
S63 Uniform Securities Agent State Law Examination

1992-06-09

View on SEC IAPD