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Details

THOMAS NELSON MURPHY NFA ID: 0070720

Current Status
RBC CAPITAL MARKETS LLC 
• PRINCIPAL APPROVED 
• NFA ASSOCIATE MEMBER APPROVED 
• ASSOCIATED PERSON REGISTERED 
Regulatory Actions
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NFA Arbitration Decisions
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CFTC Reparations Cases
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History
 Status Effective Date
CITIGROUP GLOBAL MARKETS INC 
• ASSOCIATED PERSON WITHDRAWN 06/29/2016 
• NFA ASSOCIATE MEMBER WITHDRAWN 06/29/2016 
• PRINCIPAL WITHDRAWN 07/08/2015 
• PRINCIPAL APPROVED 04/29/2011 
• ASSOCIATED PERSON REGISTERED 12/17/2007 
• NFA ASSOCIATE MEMBER APPROVED 12/11/2007 
• ASSOCIATED PERSON TEMPORARY LICENSE 12/11/2007 
EF HUTTON & COMPANY INC 
• ASSOCIATED PERSON WITHDRAWN 10/31/1984 
• ASSOCIATED PERSON REGISTERED 03/24/1982 
MERRILL LYNCH FUTURES INC 
• ASSOCIATED PERSON WITHDRAWN 11/02/2001 
• NFA ASSOCIATE MEMBER WITHDRAWN 11/02/2001 
• PRINCIPAL WITHDRAWN 11/02/2001 
• ASSOCIATED PERSON REGISTERED 04/06/2001 
• PRINCIPAL APPROVED 04/06/2001 
• NFA ASSOCIATE MEMBER APPROVED 03/16/2001 
• ASSOCIATED PERSON TEMPORARY LICENSE 03/16/2001 
• PRINCIPAL PENDING 02/23/2001 
MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED 
• NFA ASSOCIATE MEMBER WITHDRAWN 11/22/2007 
• ASSOCIATED PERSON WITHDRAWN 11/22/2007 
• PRINCIPAL WITHDRAWN 11/22/2007 
• ASSOCIATED PERSON REGISTERED 11/02/2001 
• NFA ASSOCIATE MEMBER APPROVED 11/02/2001 
• PRINCIPAL APPROVED 11/02/2001 
OBRIEN INVESTMENT MANAGEMENT INC 
• PRINCIPAL WITHDRAWN 02/18/2000 
• PRINCIPAL APPROVED 01/24/1995 
RBC CAPITAL MARKETS LLC 
• PRINCIPAL APPROVED 11/17/2016 
• NFA ASSOCIATE MEMBER APPROVED 11/17/2016 
• ASSOCIATED PERSON REGISTERED 11/17/2016 
• PRINCIPAL PENDING 11/14/2016 
• NFA ASSOCIATE MEMBER PENDING 11/14/2016 
• ASSOCIATED PERSON PENDING 11/14/2016 
RJ OBRIEN ASSOCIATES LLC 
• ASSOCIATED PERSON WITHDRAWN 02/18/2000 
• NFA ASSOCIATE MEMBER WITHDRAWN 02/18/2000 
• PRINCIPAL WITHDRAWN 02/18/2000 
• PRINCIPAL APPROVED 01/24/1995 
• BRANCH MANAGER WITHDRAWN 01/15/1995 
• ASSOCIATED PERSON REGISTERED 12/21/1993 
• BRANCH MANAGER APPROVED 12/21/1993 
• NFA ASSOCIATE MEMBER APPROVED 11/10/1993 
• ASSOCIATED PERSON TEMPORARY LICENSE 11/10/1993 
• ASSOCIATED PERSON PENDING 11/10/1993 
• BRANCH MANAGER PENDING 11/10/1993 
• NFA ASSOCIATE MEMBER PENDING 11/10/1993 
RJO COMMODITIES MANAGEMENT INC 
• PRINCIPAL WITHDRAWN 04/01/1995 
• PRINCIPAL APPROVED 01/24/1995 
WINDHAM FUTURES CORP 
• ASSOCIATED PERSON WITHDRAWN 10/29/1993 
• BRANCH MANAGER WITHDRAWN 10/29/1993 
• NFA ASSOCIATE MEMBER WITHDRAWN 10/29/1993 
• PRINCIPAL WITHDRAWN 10/29/1993 
• PRINCIPAL APPROVED 06/23/1993 
• BRANCH MANAGER APPROVED 01/27/1993 
• ASSOCIATED PERSON REGISTERED 02/19/1986 
• NFA ASSOCIATE MEMBER APPROVED 02/05/1986 
• ASSOCIATED PERSON TEMPORARY LICENSE 02/05/1986 
• ASSOCIATED PERSON PENDING 12/30/1985 
• NFA ASSOCIATE MEMBER PENDING 12/30/1985 
 
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