Philip J. Saponaro
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 James Saponaro, who also goes by Phil Saponaro, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1986. Philip had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - August 1, 2022
NEXT FINANCIAL GROUP, INC.
June 8, 2012 - August 1, 2022
NEXT FINANCIAL GROUP, INC.
November 2, 2009 - June 18, 2012
MSI FINANCIAL SERVICES, INC.
September 25, 2009 - June 18, 2012
MSI FINANCIAL SERVICES, INC.
November 20, 2006 - October 21, 2009
LPL FINANCIAL LLC
November 20, 2006 - October 21, 2009
LPL FINANCIAL LLC
January 12, 2004 - November 20, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - November 20, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 1, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
July 1, 1996 - May 1, 1998
IFMG SECURITIES, INC.
April 11, 1994 - July 2, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
November 10, 1993 - February 18, 1994
MARINER FINANCIAL SERVICES, INC.
August 16, 1991 - October 14, 1993
CAPITAL BROKERAGE CORPORATION
August 1, 1991 - August 22, 1991
IFMG SECURITIES, INC.
April 20, 1987 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
August 1, 1986 - May 13, 1987
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
