Philip F. Pierce
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Philip Foster Paul Pierce, who also goes by Philip Foster Pierce, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1982. Philip had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 62, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2021 - May 26, 2022
BLUE DIAMOND SECURITIES OF AMERICA LLC
January 5, 2004 - December 9, 2020
CHATSWORTH SECURITIES LLC
March 12, 2002 - November 7, 2002
STERNE, AGEE & LEACH, INC.
May 3, 2000 - February 25, 2002
EBONDUSA.COM, INC.
March 4, 1988 - July 26, 2000
BUTLER MUNI, LLC
August 8, 1983 - May 29, 1986
IICC - TRADECO, INC.
March 3, 1983 - May 27, 1986
O'BRIEN & SHEPARD, INC.
July 7, 1982 - December 21, 1982
HARTFIELD, TITUS & DONNELLY, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 11/10/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
BLUE DIAMOND SECURITIES OF AMERICA LLC
CRD#: 158821 / SEC#: , 8-68928
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
