Philip E. Gillette

CAPE ANN FINANCIAL

Manchester, MA

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CRD#: 1039421

Professional summary

Philip Edward Gillette JR, who also goes by Philip E Gillette, Philip Edward Gillette Sr, is a registered financial advisor currently at CAPE ANN FINANCIAL located in Manchester, Massachusetts.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Philip has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Philip E Gillette | Philip Edward Gillette Sr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. CAPE ANN FINANCIAL, RIA - OWNER AND ADVISOR. HE PROVIDES ADVISORY SERVICES TO CLIENTS FOR A FEE. 2. FIXED ANNUITIES AGENT, VARIOUS COMPANIES, SAME ADDRESS. START DATE: 7/1998 50 HOURS/MONTH, 2 DURING TRADING HOURS 2. 3. CTA UNDER PHILIP E. GILLETTE NAME. 25 HOURS PER WEEK. SOME COMMENSURATE WITH RIA HOURS. SINCE MAY 2008.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Edward Gillette JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 18, 2011 - Present

CAPE ANN FINANCIAL

RIA

CRD#: 131088

Manchester, MA

Past

January 22, 2010 - December 31, 2010

CAPE ANN FINANCIAL

RIA

CRD#: 131088

MANCHESTER, MA

Past

January 9, 2007 - June 8, 2012

CANTELLA & CO., INC.

RIA

CRD#: 13905

MANCHESTER, MA

Past

January 12, 2006 - December 31, 2009

CAPE ANN FINANCIAL

RIA

CRD#: 131088

MANCHESTER, MA

Past

August 6, 1998 - June 8, 2012

CANTELLA & CO., INC.

CRD#: 13905

MANCHESTER, MA

Past

July 7, 1993 - August 10, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 8, 1989 - July 29, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 14, 1983 - November 16, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 29, 1982 - September 28, 1983

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(1/18/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/10/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 7/9/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/17/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/2000

General Securities Principal Examination

Current Firm

CAPE ANN FINANCIAL

CAPE ANN FINANCIAL | GILLETTE PHILIP EDWARD

CRD#: 131088 / SEC#:

Massachusetts

Registered Investment Advisory firm - (1/18/2011 Approved)

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Contact information

Main Address

Manchester, MA

Mailing Address

Phone number

(978) 526-0000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 15,715,167

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.

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Advisor Monitoring

Firm Stability Insights

Philip E. Gillette

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Edward Gillette JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPE ANN FINANCIAL

CANTELLA & CO., INC.

CAPE ANN FINANCIAL

CANTELLA & CO., INC.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

FIRST JERSEY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/1998

Series 63

Date: 5/10/1982

Series 3

Date: 7/9/1986

Series 7

Date: 4/17/1982

Series 24

Date: 11/14/2000

Current Firm

CAPE ANN FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPE ANN FINANCIAL

TRUST BUT VERIFY

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