Philip A. Falcone
Professional summary
Philip Alan Falcone was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Philip had worked at 6 firms, which includes HMC INVESTMENTS LLC, BARCLAYS CAPITAL INC., NATWEST FINANCE INC., NATWEST SECURITIES CORPORATION, FIRST UNION CAPITAL MARKETS CORP., KIDDER PEABODY & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2001 - March 10, 2009
HMC INVESTMENTS, LLC
March 18, 1998 - January 31, 2001
BARCLAYS CAPITAL INC.
September 30, 1997 - March 25, 1998
NATWEST FINANCE INC.
September 10, 1997 - November 10, 1997
NATWEST SECURITIES CORPORATION
July 26, 1995 - May 19, 1997
FIRST UNION CAPITAL MARKETS CORP.
December 17, 1985 - March 30, 1990
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
HMC INVESTMENTS, LLC
CRD#: 40581 / SEC#: , 8-49140
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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