Philip W. Dregalla
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 William Dregalla, who also goes by Phil Dregalla, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1988. Philip had worked at 7 firms and has passed the Series 65, 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
October 23, 1998 - October 27, 2000
HERITAGE WEST SECURITIES, INC.
June 12, 1997 - October 19, 1998
LPL FINANCIAL LLC
March 6, 1995 - June 4, 1997
HERITAGE WEST SECURITIES, INC.
September 1, 1993 - March 7, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
November 30, 1992 - August 31, 1993
CITICORP INVESTMENT SERVICES
March 11, 1992 - December 2, 1992
CITIGROUP GLOBAL MARKETS INC.
June 20, 1989 - October 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 1988 - May 30, 1989
H.J. MEYERS & CO., 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
HERITAGE WEST SECURITIES, INC.
CRD#: 30718 / SEC#: , 8-45104
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
