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Philip E. Moriarty

Some features on this profile are disabled
CRD#: 1989641
PM

Professional summary

Philip Edward Moriarty II was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Philip is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Philip had worked at 10 firms, which includes KITTERY POINT CAPITAL LLC, BLACK POINT CAPITAL MANAGEMENT, GUGGENHEIM INVESTMENT ADVISORS LLC, GUGGENHEIM INVESTOR SERVICES LLC, FIRST STREET CAPITAL ADVISORS LLC, H2C SECURITIES INC., CALAMOS FINANCIAL SERVICES LLC, UBS SECURITIES LLC, JPMSI, KEMPER FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Philip E Moriarty Ii | Phipps Moriarty Ii

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

April 25, 2014 - January 19, 2015

KITTERY POINT CAPITAL, LLC

BD
CRD#: 166758
PORTLAND, ME
Past

July 22, 2013 - October 23, 2014

BLACK POINT CAPITAL MANAGEMENT

RIA
CRD#: 116654
PORTLAND, ME
Past

June 9, 2011 - October 12, 2012

GUGGENHEIM INVESTMENT ADVISORS, LLC

RIA
CRD#: 108263
CHICAGO, IL
Past

June 9, 2011 - October 12, 2012

GUGGENHEIM INVESTOR SERVICES, LLC

BD
CRD#: 30096
NEW YORK, NY
Past

March 20, 2009 - December 8, 2010

FIRST STREET CAPITAL ADVISORS LLC

RIA
CRD#: 148259
CHICAGO, IL
Past

April 16, 2008 - March 9, 2011

H2C SECURITIES INC.

BD
CRD#: 7169
ATLANTA, GA
Past

November 1, 2005 - March 3, 2008

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

March 13, 2001 - August 26, 2005

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 21, 1994 - February 15, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

January 31, 1992 - August 1, 1994

KEMPER FINANCIAL SERVICES, INC.

BD
CRD#: 798

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
IAR
Series 65
Date: 3/19/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/21/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/19/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/30/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/28/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/26/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/21/2000
General Securities Sales Supervisor - General Module Examination

Current Firm

KP
KITTERY POINT CAPITAL, LLC
CATE STREET SECURITIES, LLC | KITTERY POINT CAPITAL, LLC

CRD#: 166758 / SEC#: , 8-69227

BD
Terminated by SEC on 07/16/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/03/2013
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CATE STREET CAPITAL, INC.MANAGING MEMBER
ABRAMCZYK, JANE ECHIEF COMPLIANCE OFFICER4801666
CLEVELAND, JUDSON JAMESPRESIDENT4836868
SUSSMAN, STEPHEN JEFFREYFINANCIAL OPERATIONS PRINCIPAL2181860

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

KITTERY POINT CAPITAL, LLC

CRD#: 166758

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