Phillip J. Flynn
Professional summary
Phillip James Flynn 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 1985. Prior to being barred, Phillip had worked at 8 firms, which includes BARRON CHASE SECURITIES INC., SCHNEIDER SECURITIES INC., PAULSON INVESTMENT COMPANY LLC, MATHEWS HOLMQUIST & ASSOCIATES INC., INVESTAMERICA FINANCIAL SERVICES CORPORATION, HAYNE MILLER FINANCIAL INC., B C FINANCIAL CORPORATION, BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 1996 - September 2, 1998
BARRON CHASE SECURITIES, INC.
February 11, 1995 - January 4, 1996
SCHNEIDER SECURITIES, INC.
May 16, 1994 - June 15, 1994
PAULSON INVESTMENT COMPANY LLC
August 23, 1990 - December 20, 1993
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
May 8, 1990 - July 3, 1990
INVESTAMERICA FINANCIAL SERVICES CORPORATION
February 8, 1990 - April 20, 1990
HAYNE, MILLER FINANCIAL, INC.
September 22, 1988 - January 1, 1990
B C FINANCIAL CORPORATION
July 24, 1985 - November 3, 1988
BLINDER, ROBINSON & CO., 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
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
Red Flags
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