Philip C. Mount
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 C Mount, who also goes by Philip Carl Mount, Philip Mount, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1993. Philip had worked at 18 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2025 - March 31, 2026
LPL ENTERPRISE, LLC
July 25, 2025 - March 31, 2026
LPL ENTERPRISE, LLC
July 26, 2022 - December 31, 2023
THE LEADERS GROUP, INC.
June 10, 2022 - December 31, 2023
TLG ADVISORS, INC.
September 13, 2019 - June 12, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 12, 2019 - June 12, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 11, 2010 - March 13, 2019
VOYA FINANCIAL ADVISORS, INC.
July 12, 2010 - March 13, 2019
VOYA FINANCIAL ADVISORS, INC.
April 29, 2008 - July 16, 2010
UBS FINANCIAL SERVICES INC.
April 29, 2008 - July 16, 2010
UBS FINANCIAL SERVICES INC.
February 13, 2008 - May 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 13, 2008 - May 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 2, 2007 - February 12, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 12, 2008
MORGAN STANLEY & CO. LLC
February 9, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
February 1, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 18, 2005 - October 27, 2005
IMS SECURITIES, INC.
April 12, 2005 - April 13, 2005
VSR FINANCIAL SERVICES, INC.
August 29, 1995 - December 31, 1999
VSR FINANCIAL SERVICES, INC.
July 13, 1995 - August 29, 1995
ARAGON FINANCIAL SERVICES, INC.
October 14, 1994 - July 18, 1995
LYN-HAYES FINANCIAL, INC.
August 4, 1994 - September 23, 1994
TDI, INCORPORATED
June 9, 1994 - August 30, 1994
THE TRADING DESK, INC.
December 3, 1993 - June 13, 1994
M.G.S.I. SECURITIES, INC.
June 23, 1993 - November 23, 1993
MARCUS, STOWELL & BEYE, INC.
June 23, 1993 - November 23, 1993
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
