Philip Florio
Professional Summary
Philip Florio, who also goes by Phil Florio, is a registered financial advisor currently at RICHARD JAMES & ASSOCIATES, INC. located in Syosset, New York. Philip is registered as a RR (Registered Representative) and started their career in finance in 1994. Philip has worked at 14 firms and has passed the Series 63, Series 52TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 27, Series 4, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Phil Florio
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
RICHARD JAMES & ASSOCIATES, INC.
Contact Information
Main Address
2 Roosevelt Ave. Ste 102, Syosset, NY 11791Mailing Address
2 Roosevelt Ave. Ste 102, Syosset, NY 11791Phone Number
(516) 200-3174Established
New York since 08/14/2013Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (36 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(3/24/2025)
(6/16/2025)
(3/24/2025)
(9/20/2024)
(10/3/2025)
(8/15/2024)
(2/21/2019)
(8/19/2024)
(11/2/2021)
(3/24/2025)
(3/24/2025)
(3/24/2025)
(8/15/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed May 1999Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2001About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Philip Florio's CRS (Customer Relationship Summary).
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