Philip C. Stone
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 Carlson Stone 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, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2016 - July 14, 2017
PUMA CAPITAL, LLC
February 14, 2008 - August 9, 2016
TMC BONDS L.L.C.
September 18, 2007 - January 29, 2008
CHATSWORTH SECURITIES LLC
April 6, 2006 - February 22, 2007
FM PARTNERS HOLDINGS LLC
March 28, 1995 - March 22, 2006
R.W.PRESSPRICH & CO.
April 9, 1992 - March 22, 1995
PRUDENTIAL EQUITY GROUP, LLC
October 3, 1991 - March 17, 1992
UBS SECURITIES LLC
August 24, 1982 - August 29, 1991
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
