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Phillip C. Contino

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CRD#: 1815103
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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.

Phillip Carl Contino JR, who also goes by Phillip Carl Contino, was a registered financial professional .

Phillip is a previously registered financial professional and started their career in finance in 1989. Phillip had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phillip Carl Contino

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 15, 2013 - December 13, 2017

JOSEPH STONE CAPITAL L.L.C.

BD
CRD#: 159744
HAUPPAUGE, NY
Past

September 30, 2011 - November 20, 2013

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
HAUPPAUGE, NY
Past

August 6, 2002 - October 28, 2011

AMERICAN CAPITAL PARTNERS, LLC

BD
CRD#: 119249
HAUPPAUGE, NY
Past

January 8, 2001 - August 6, 2002

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
BOHEMIA, NY
Past

November 21, 2000 - January 12, 2001

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

September 29, 1998 - November 14, 2000

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

October 20, 1993 - August 28, 1998

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY
Past

June 27, 1991 - November 22, 1993

TUSCANY EQUITY MANAGEMENT CORPORATI0N

BD
CRD#: 20016
DEERFIELD BEACH, FL
Past

April 18, 1989 - June 26, 1991

MADISON CHAPIN ASSOCS., INC.

BD
CRD#: 14483

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/13/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/14/2003
General Securities Principal Examination

Current Firm

JS
JOSEPH STONE CAPITAL L.L.C.
JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744 / SEC#: , 8-69014

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
585 Stewart Ave Suite L60c, Garden City, NY 11530
Mailing Address
585 Stewart Ave Suite L60c, Garden City, NY 11530
Phone number
(516) 267-7001
Established
Delaware since 11/04/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPMM HOLDINGS L.L.C.HOLDING COMPANY
GRAZIANO, ANTHONY JOSEPHCCO2862096
MAGGIO, DAMIANCEO2864247
NIXON, JON ALANFINOP4710715

Disclosures

Regulatory Event5
Arbitration3

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.

Company Information

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744

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