Philip N. Becton
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 Neal Becton II was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1970. Philip had worked at 13 firms and has passed the Series 63, Series 3, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2002 - December 9, 2004
MIDSOUTH CAPITAL, INC.
June 29, 1998 - September 6, 2002
CALEDONIAN INVESTMENT PARTNERS LLC
June 5, 1992 - July 8, 1999
CARTER, TERRY & COMPANY, INC.
August 21, 1990 - May 22, 1992
T.R. WINSTON & COMPANY, LLC
May 20, 1988 - July 9, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 30, 1984 - April 26, 1988
JEFFERIES LLC
February 15, 1984 - July 3, 1984
BECKER PARIBAS INCORPORATED
April 14, 1983 - February 15, 1984
WACHOVIA SECURITIES, INC.
November 13, 1979 - February 9, 1982
HERMITAGE CAPITAL CORPORATION
December 6, 1977 - September 25, 1986
P. N. BECTON & COMPANY, INCORPORATED
September 21, 1977 - January 13, 1978
J.P. MORGAN SECURITIES LLC
April 10, 1972 - August 28, 1977
LEHMAN BROTHERS INCORPORATED
December 10, 1970 - January 31, 1972
DOMIK CORP.
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
Series 1
Date: 12/3/1970
Registered Representative ExaminationF04
Date: 8/24/1977
Financial Principal ExaminationSeries 40
Date: 8/24/1977
Registered Principal ExaminationCurrent Firm
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
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.
