Philip R. Connor
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 Rogerhoward Connor III, who also goes by Howard Connor III, Philip Roger Howard Connor III, Philip Roger Howard Connor, Philip Connor, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1987. Philip had worked at 9 firms and has passed the Series 63, 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
November 4, 2003 - March 11, 2004
GUNNALLEN FINANCIAL, INC
November 5, 2002 - May 16, 2003
PARK CAPITAL SECURITIES, LLC
October 9, 2002 - August 2, 2004
HARVEST CAPITAL INVESTMENTS LLC
November 11, 1996 - November 19, 2002
LAIDLAW GLOBAL SECURITIES, INC.
October 23, 1996 - November 14, 1996
ADVANTAGE FINANCIAL PRIVATE & CORPORATE LLC
January 10, 1995 - October 18, 1996
PRUDENTIAL EQUITY GROUP, LLC
December 15, 1989 - January 4, 1995
CIBC WORLD MARKETS CORP.
October 6, 1988 - December 21, 1989
CITIGROUP GLOBAL MARKETS INC.
February 24, 1987 - November 2, 1988
DREXEL BURNHAM LAMBERT 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
