Philip G. Corio
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 George Corio was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1983. Philip had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2009 - December 17, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
March 31, 2006 - May 15, 2009
JVB FINANCIAL GROUP, LLC
August 6, 2001 - March 3, 2006
LASALLE FINANCIAL SERVICES, INC.
May 17, 1998 - June 6, 2001
ABN AMRO INCORPORATED
July 6, 1989 - November 7, 1997
IVY DISTRIBUTORS, INC.
April 21, 1989 - September 26, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 6, 1989 - April 24, 1989
HANIFEN, IMHOFF SECURITIES CORP.
April 4, 1986 - January 18, 1989
GRAYSTONE NASH, INC.
November 22, 1983 - March 10, 1986
FIRST JERSEY SECURITIES, INC.
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
