Philip R. Giovannelli
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 Ronald Giovannelli was a registered financial advisor .
Philip is a previously registered financial advisor and started their career in finance in 1988. Philip had worked at 8 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2012 - June 8, 2012
CAPITAL ONE FINANCIAL ADVISORS LLC
July 27, 2011 - June 8, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
May 19, 2011 - May 31, 2011
M&T SECURITIES, INC.
October 8, 2010 - May 23, 2011
LPL FINANCIAL LLC
October 6, 2010 - May 23, 2011
LPL FINANCIAL LLC
November 21, 2008 - August 13, 2010
CHASE INVESTMENT SERVICES CORP.
November 12, 2008 - August 13, 2010
CHASE INVESTMENT SERVICES CORP.
October 11, 2005 - January 18, 2007
OPPENHEIMER & CO. INC.
April 22, 1998 - January 18, 2007
OPPENHEIMER & CO. INC.
July 11, 1989 - March 27, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 1988 - March 7, 1989
LEHMAN BROTHERS INC.
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
CAPITAL ONE FINANCIAL ADVISORS LLC
CRD#: 127236 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
