James A. Philip

GLOBAL OAK CAPITAL MARKETS LLC

Charleston, SC 29401

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CRD#: 1992671

Professional summary

James Anthony Philip is a registered financial professional currently at GLOBAL OAK CAPITAL MARKETS LLC located in Charleston, South Carolina.

James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

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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

Current

July 15, 2019 - Present

GLOBAL OAK CAPITAL MARKETS LLC

Office #1: 25 1/2 Legare Street, Charleston, SC 29401

CRD#: 125860

Charleston, SC

Past

October 8, 2010 - December 21, 2018

HARBOR VIEW ADVISORS, LLC

CRD#: 151817

PONTE VEDRA, FL

Past

January 27, 1999 - January 9, 2002

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

October 1, 1997 - January 10, 2001

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

October 10, 1995 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(7/15/2019)

Illinois
(7/15/2019)

New York
(7/15/2019)

South Carolina
(7/15/2019)

Exams

State Security Law Exam

Series 63

Date: 4/30/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/5/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GLOBAL OAK CAPITAL MARKETS LLC

CICERONE PARTNERS LLC | RCF CAPITAL PARTNERS, LLC | GLOBAL OAK CAPITAL MARKETS LLC | CICERONE SECURITIES, LLC

CRD#: 125860 / SEC#: , 8-65829

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

25 1/2 Legare Street, Charleston, SC 29401

Mailing Address

25 1/2 Legare Street, Charleston, SC 29401

Phone number

(843) 310-3245

Established

Delaware since 12/16/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ANGEL OAK GLOBAL MARKETS, LLC	OWNER
DRAKE, WILLIAM FRANCIS III	OWNER	1621314
LIEBERGALL, JONATHAN SCOTT	OWNER / CEO	1744845
PARKWAY INVESTMENT MANAGEMENT	OWNER
WALKER, FREDERICK EUCLID	OWNER	2360896
MAGBALON, MICHAEL JOHN	OWNER	7220640
TOFT, CHRISTIAN DAVID	OWNER	4389124
KATZ, MARIE	CFO, FINOP, CCO	2457660

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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James A. Philip

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Anthony Philip's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOR VIEW ADVISORS, LLC

THOMAS WEISEL PARTNERS LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 4/30/2010

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/11/2009

Series 24

Date: 8/5/2010

FINRA

Current Firm

GLOBAL OAK CAPITAL MARKETS LLC

Contact information

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GLOBAL OAK CAPITAL MARKETS LLC

TRUST BUT VERIFY

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