Philip S. Mead
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 Scott Mead was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1989. Philip had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
August 4, 2017 - September 1, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 2, 2015 - October 26, 2015
GENEOS WEALTH MANAGEMENT, INC.
October 21, 2014 - November 2, 2015
MANARIN INVESTMENT COUNSEL LTD
October 8, 2014 - February 24, 2015
MANARIN SECURITIES CORPORATION
January 18, 2012 - October 20, 2014
WEALTHPLAN PARTNERS
November 3, 2009 - October 23, 2014
LPL FINANCIAL LLC
August 11, 2000 - August 12, 2009
LPL FINANCIAL LLC
July 26, 1999 - September 15, 1999
LPL FINANCIAL LLC
January 22, 1998 - May 20, 1999
ORBITEX FUNDS DISTRIBUTOR, INC.
January 30, 1997 - February 3, 1998
SECURITIES AMERICA, INC.
August 31, 1994 - March 20, 1995
SMITH HAYES FINANCIAL SERVICES CORPORATION
November 27, 1989 - May 30, 1990
UBS FINANCIAL SERVICES INC.
July 21, 1989 - September 21, 1989
MALONE & ASSOCIATES, 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
