Phillip J. Booth
Professional summary
Phillip Joel Booth was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Phillip is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Phillip had worked at 11 firms, which includes COMPULIFE INVESTOR SERVICES INC., PNC BROKERAGE CORP, G. R. PHELPS & CO. INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., THE O.N. EQUITY SALES COMPANY, 1717 CAPITAL MANAGEMENT COMPANY, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, PRESCOTT BALL & TURBEN INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 1996 - January 15, 1997
COMPULIFE INVESTOR SERVICES, INC.
August 3, 1995 - June 4, 1996
PNC BROKERAGE CORP
April 7, 1994 - August 2, 1995
G. R. PHELPS & CO., INC.
March 10, 1993 - March 10, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 10, 1993 - March 10, 1994
OSAIC FA, INC.
November 25, 1991 - December 31, 1992
THE O.N. EQUITY SALES COMPANY
July 11, 1988 - December 10, 1991
1717 CAPITAL MANAGEMENT COMPANY
October 19, 1987 - July 1, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 19, 1987 - July 1, 1988
EQUITABLE ADVISORS, LLC
May 16, 1986 - September 10, 1987
PRESCOTT, BALL & TURBEN, INC.
November 22, 1983 - April 2, 1986
PRUCO SECURITIES, 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
Current Firm
COMPULIFE INVESTOR SERVICES, INC.
CRD#: 21543 / SEC#: , 8-39086
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIMEVEST FINANCIAL SERVICES, INC. | SOLE SHAREHOLDER | 15340 |
| CICCATI, RANDALL LEE | PRESIDENT/ DIRECTOR/CEO | 1569353 |
| COMBS, BOYD G | SENIOR VICE PRESIDENT | |
| ENGELKE, PAULA CLUDRAY | SECRETARY | |
| MAAS, KEVIN PAUL | VP, ASSISTANT SECRETARY/ DIRECTOR | 2692487 |
| MILLER, EDWARD BRUCE | VICE PRESIDENT AND DIRECTOR | 1680275 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| REINHOLZ, CHRISTOPHER JON | ASSISTANT VICE PRESIDENT | 1961258 |
| RENELT, LORALEE ANN | ASSISTANT SECRETARY | |
| RUMMELMCCOOL, LEANN RENEE | VICE PRESIDENT | 1965155 |
| SHELSON, MARK PAUL | VICE PRESIDENT/ CHIEF FINANCIAL OFFICER | 1819252 |
| WILLIAMS, CLINTON SR | SENIOR VICE PRESIDENT/ DIRECTOR/COO | 2479051 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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