Philip A. Lowe
Professional summary
Philip Alexander Lowe was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Philip had worked at 5 firms, which includes MUTUAL SERVICE CORPORATION, FSC SECURITIES CORPORATION, LPL FINANCIAL LLC, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2003 - January 29, 2004
MUTUAL SERVICE CORPORATION
August 19, 2003 - January 29, 2004
MUTUAL SERVICE CORPORATION
February 9, 1999 - August 4, 2003
FSC SECURITIES CORPORATION
February 9, 1999 - August 4, 2003
FSC SECURITIES CORPORATION
May 31, 1995 - February 5, 1999
LPL FINANCIAL LLC
September 3, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 3, 1991 - June 22, 1995
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
Red Flags
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