Philip B. Pool
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 Bemis Pool JR, who also goes by Philip B Pool, Philip Bemis Pool, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1986. Philip had worked at 9 firms and has passed the Series 63, SIE, Series 7 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 8, 2022 - January 27, 2025
DC ADVISORY
December 16, 2014 - April 6, 2020
ICAPITAL SECURITIES, LLC
July 23, 2014 - September 1, 2015
BENDIGO SECURITIES, LLC
March 13, 2009 - December 18, 2013
NAVIDAR GROUP LLC
May 5, 2008 - March 23, 2009
BLUFFVIEW CAPITAL, LP
December 2, 2002 - July 10, 2006
BRITTANY CAPITAL GROUP, INC.
November 3, 2000 - June 29, 2001
CREDIT SUISSE SECURITIES (USA) LLC
March 10, 1994 - June 29, 2001
PERSHING LLC
May 20, 1986 - March 15, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
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.
