PC
Philip J. Cawley
WEALTHSHIELD PARTNERS
Portland, ME 04101
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CRD#: 1547550
PC
Professional summary
Philip John Cawley is a registered financial advisor currently at WEALTHSHIELD PARTNERS, LLC located in Portland, Maine.
Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Philip has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Philip John Cawley's 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®
NoneExperience
Current
December 3, 2021 - Present
WEALTHSHIELD PARTNERS, LLC
Office #1: 111 Commercial Street Floor 5, Suite 501, Portland, ME 04101RIA
CRD#: 169584
Portland, ME
Past
October 1, 2014 - December 26, 2021
HARBORVIEW ADVISORS
RIA
CRD#: 173012
PORTLAND, ME
Past
October 1, 2014 - December 8, 2021
KOVACK SECURITIES INC.
BD
CRD#: 44848
Portland, ME
Past
March 23, 2005 - October 8, 2014
CANTELLA & CO., INC.
RIA
CRD#: 13905
PORTLAND, ME
Past
March 22, 2005 - October 8, 2014
CANTELLA & CO., INC.
BD
CRD#: 13905
PORTLAND, ME
Past
April 11, 2002 - March 7, 2005
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
PORTLAND, ME
Past
April 24, 1995 - March 7, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
May 10, 1989 - November 28, 1989
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
Past
May 18, 1988 - May 10, 1989
THE PIONEER GROUP, INC.
BD
CRD#: 1932
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".
WP
WEALTHSHIELD PARTNERS, LLC
CARILLON ADVISORS | XARTIS WEALTH ADVISORY GROUP | WEALTHSHIELD PARTNERS, LLC | WEALTHSHIELD PARTNERS | WEALTHSHIELD | WEALTH MANAGEMENT RESOURCES | WEALTH & FINANCIAL ADVOCATES GROUP, LLC | TINKER CAPITAL | ORG PARTNERS ADVISOR GROUP | ORG PARTNERS | ORG PAG | ORBIS WEALTH | MAINE ADVISORS | MADISON OAKS WEALTH PARTNERS | HICKS & ASSOCIATES WEALTH MANAGEMENT | HARBORVIEW INVESTMENTS | HARBORVIEW ADVISORS | GOLDEN PINE ADVISORY | EVERGREEN FINANCIAL SERVICES | EMERALD INVESTMENT PARTNERS, LLC | EMERALD ASSET MANAGEMENT, INC. | CONSTANCE WEALTH ADVISORS | CONSTANCE WEALTH | CENTURY WEALTH ADVISORS | CENTERPOINT FINANCIAL GROUP
CRD#: 169584 / SEC#: 801-78937
RIA
Registered Investment Advisory firm - (12/17/2013 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.Highlighted states indicate IAR registrations
IAR
Maine(12/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 3/26/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WP
WEALTHSHIELD PARTNERS, LLC
CARILLON ADVISORS | XARTIS WEALTH ADVISORY GROUP | WEALTHSHIELD PARTNERS, LLC | WEALTHSHIELD PARTNERS | WEALTHSHIELD | WEALTH MANAGEMENT RESOURCES | WEALTH & FINANCIAL ADVOCATES GROUP, LLC | TINKER CAPITAL | ORG PARTNERS ADVISOR GROUP | ORG PARTNERS | ORG PAG | ORBIS WEALTH | MAINE ADVISORS | MADISON OAKS WEALTH PARTNERS | HICKS & ASSOCIATES WEALTH MANAGEMENT | HARBORVIEW INVESTMENTS | HARBORVIEW ADVISORS | GOLDEN PINE ADVISORY | EVERGREEN FINANCIAL SERVICES | EMERALD INVESTMENT PARTNERS, LLC | EMERALD ASSET MANAGEMENT, INC. | CONSTANCE WEALTH ADVISORS | CONSTANCE WEALTH | CENTURY WEALTH ADVISORS | CENTERPOINT FINANCIAL GROUP
CRD#: 169584 / SEC#: 801-78937
RIA
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Contact information
Main Address
2500 Regency Parkway, Cary, NC 27518
Mailing Address
Phone number
(919) 948-4453
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,596 |
| AUM (Assets Under Management) | $ 1,080,417,121 |
Red Flags
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Company Information
WEALTHSHIELD PARTNERS, LLC
CRD#: 169584Portland, ME 04101TRUST BUT VERIFY
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