Philip N. Cobb
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 N Cobb was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1984. Philip had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 62, Series 52, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - December 10, 2014
SENTINEL BROKERS COMPANY, INC.
July 30, 2004 - May 5, 2005
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 22, 2002 - February 10, 2004
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
September 12, 2001 - February 14, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
June 14, 2001 - February 16, 2011
R.W. SMITH & ASSOCIATES, LLC
March 15, 1991 - August 23, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 18, 1986 - October 23, 1990
KENNEDY, CABOT & CO.
January 25, 1984 - March 19, 1986
WEDBUSH 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
Series 62
Date: 7/26/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
SENTINEL BROKERS COMPANY, INC.
CRD#: 40305 / SEC#: , 8-49005
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL BROKERS LLC | SHAREHOLDER | |
| SED CAPITAL PTE LTD | OWNER | |
| LAWLESS, JOSEPH MATHEW | CEO, CCO | 1783307 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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