Phillip H. Cardinale

CETERA INVESTMENT ADVISERS LLC

WALNUT CREEK, CA 94596

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CRD#: 1287524

Professional summary

Phillip Horace Cardinale, who also goes by Ohillip Horace Cardinale, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Walnut Creek, California and CETERA ADVISORS LLC located in Walnut Creek, California.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Phillip has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ohillip Horace Cardinale

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. PHILLIP CARDINALE. AGENT. INSURANCE. START DATE 1/1/1985. 2. Castlerock Insurance Group; Partner; Insurance; Start date 09/14/2015; 20 hours per month. 3. Rose McWalters Trust; Trustee; Fiduciary Position; Start date 08/01/2004; 4 hours per month. 4. NAME OF OTHER BUSINESS: ENHANCED FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Horace Cardinale's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1777 Botelho Dr Ste 275, Walnut Creek, CA 94596

RIA

CRD#: 105644

WALNUT CREEK, CA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 1777 Botelho Drive Suite 275, Walnut Creek, CA 94596

CRD#: 10299

Walnut Creek, CA

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Walnut Creek, CA

Past

January 30, 2007 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

WALNUT CREEK, CA

Past

June 13, 2005 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

WALNUT CREEK, CA

Past

December 10, 1993 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

August 12, 1992 - December 17, 1993

VANGUARD CAPITAL

CRD#: 22081

DEL MAR, CA

Past

July 27, 1984 - August 13, 1992

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/8/2022)

IAR

California
(11/12/2020)

California
(9/8/2022)

Idaho
(9/8/2022)

Nevada
(9/8/2022)

Oregon
(9/8/2022)

Washington
(9/8/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/24/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/26/1984

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Phillip H. Cardinale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Horace Cardinale's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

VANGUARD CAPITAL

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/15/1998

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 22

Date: 1/24/1985

Series 6

Date: 7/26/1984

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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