Philip L. Gazzo
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 Leo Gazzo, who also goes by Philip L Gazzo, Philip Leo Gazzo, Philip Gazzo, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1984. Philip had worked at 14 firms and has passed the Series 66, SIE, Series 7, Series 6 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
December 27, 2023 - April 30, 2024
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
January 3, 2023 - November 28, 2023
MCG SECURITIES LLC
April 14, 2021 - January 3, 2023
INNOVATION PARTNERS LLC
June 26, 2019 - April 16, 2021
FNEX CAPITAL, LLC
October 30, 2018 - June 3, 2019
EASTERLY FUNDS LLC
October 11, 2018 - June 3, 2019
FDX CAPITAL LLC
November 16, 2005 - April 12, 2017
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
August 18, 2004 - April 12, 2017
NYLIFE DISTRIBUTORS LLC
April 24, 2001 - March 3, 2004
VERAVEST INVESTMENTS, INC.
May 19, 1998 - November 22, 2000
VOYA FINANCIAL PARTNERS, LLC
July 5, 1991 - March 23, 1998
UBS FINANCIAL SERVICES INC.
December 16, 1986 - March 27, 1991
C.A.L. INVESTMENT SERVICES INC.
November 30, 1984 - October 29, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 30, 1984 - November 13, 1986
EQUITABLE ADVISORS, 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
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
CRD#: 8494 / SEC#: , 8-25547
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
