Philip C. Gardner
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 Charles Gardner was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1970. Philip had worked at 11 firms and has passed the Series 63, Series 1 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
November 11, 2005 - April 4, 2014
CITIZENS JMP SECURITIES, LLC
September 5, 2002 - June 1, 2005
B. RILEY SECURITIES, INC.
September 1, 1998 - July 26, 2002
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
July 15, 1987 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
August 7, 1981 - January 23, 1987
MONTGOMERY SECURITIES
May 15, 1978 - August 29, 1978
PERSHING LLC
August 21, 1973 - May 24, 1978
SCHRODER & CO. INC.
August 9, 1972 - September 10, 1973
HAYDEN STONE INC.
February 23, 1971 - September 14, 1972
WHITE, WELD & CO. INCORPORATED
April 20, 1970 - February 22, 1971
DUPONT GLORE FORGAN
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
Series 1
Date: 8/16/1968
Registered Representative ExaminationCurrent Firm
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
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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