James Murphy has been President/Chief Compliance Officer of St. Nicholas Private Asset Management since October 2025, is a control person of the firm and directly owns 75% or more of it.
St. Nicholas Private Asset Management, Inc. is a Jacksonville, FL firm with $151M under management, 92 clients and 1 adviser in one office, as of its June 2026 filing.
James Murphy’s longest registration was 3 years at Wells Fargo Clearing Services, LLC (2020–2023). Before joining St. Nicholas Private Asset Management in 2023, James Murphy was registered through Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC.
- – present · 2 yearsJacksonville, FL · Adviser representative · Firm CRD 132500
- Wells Fargo Advisors Financial Network, LLC– · under a yearJacksonville, FL · Adviser representative · Firm CRD 11025
- Wells Fargo Clearing Services, LLC– · 3 yearsJacksonville, FL · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
James Murphy is registered as an investment adviser representative in Florida, since November 2023.
- FloridaSince 20 November 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 14 July 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 6 January 2017 |
| Series 7 | General Securities Representative Examination | 8 December 2016 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James A Murphy
- CRD
- 6324351
- Firm
- St. Nicholas Private Asset Management · CRD 132500
- Role
- President/Chief Compliance Officer
- Office
- 6817 SOUTHPOINT PARKWAY, SUITE 1204, Jacksonville, FL 32216
- Registration
- Investment adviser registration
- In the industry since
- January 2017
- Disciplinary history
- Not yet shown here · SEC record
Where does James Murphy work?
James Murphy has been President/Chief Compliance Officer of St. Nicholas Private Asset Management, Inc. since October 2025, and is a control person of the firm.
Is James Murphy a financial advisor?
Yes. James Murphy has a current investment-adviser registration in Florida, through St. Nicholas Private Asset Management since November 2023.
How many years of experience does James Murphy have?
James Murphy has 9 years in the financial industry, since January 2017, across 3 adviser firms.
What exams has James Murphy passed?
James Murphy has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in December 2016. FINRA credited James Murphy with the SIE, which began in October 2018.
Where did James Murphy work before St. Nicholas Private Asset Management?
Before St. Nicholas Private Asset Management, James Murphy was registered through Wells Fargo Advisors Financial Network, LLC, July 2023 to September 2023; Wells Fargo Clearing Services, LLC, May 2020 to July 2023.
Where is James Murphy based?
James Murphy’s registered office is in Jacksonville, FL.
Is James Murphy registered with FINRA?
No. James Murphy has no current broker registration.
How can I verify James Murphy’s record?
Search CRD 6324351 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Murphy’s full registration record.