Philip Florio

RICHARD JAMES & ASSOCIATES

Syosset, NY 11791

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CRD#: 2377440

Professional summary

Philip Florio, who also goes by Phil Florio, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Phil Florio

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

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

CRS (Customer Relationship Summary)

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

January 15, 2019 - Present

RICHARD JAMES & ASSOCIATES, INC.

Office #1: 2 Roosevelt Ave. Ste 102, Syosset, NY 11791

CRD#: 169131

Syosset, NY

Past

November 15, 2017 - July 13, 2018

RICHARD JAMES & ASSOCIATES, INC.

CRD#: 169131

Syosett, NY

Past

June 27, 2017 - November 24, 2017

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Commack, NY

Past

March 30, 2015 - December 7, 2016

LEGEND SECURITIES, INC.

CRD#: 44952

Miller Place, NY

Past

January 11, 2010 - March 5, 2015

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

DANBURY, CT

Past

February 12, 2008 - November 16, 2009

CLARK DODGE & CO., INC.

CRD#: 23288

GARDEN CITY, NY

Past

December 2, 2005 - February 5, 2008

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

WESTBURY, NY

Past

November 9, 2004 - November 22, 2005

BRUNDYN SECURITIES INC.

CRD#: 124493

ARLINGTON, TX

Past

May 13, 2004 - June 28, 2004

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, NY

Past

May 5, 2004 - August 2, 2004

HARRISON SECURITIES, INC.

CRD#: 14103

PORT WASHINGTON, NY

Past

August 12, 2002 - April 30, 2004

HARRISON SECURITIES, INC.

CRD#: 14103

PORT WASHINGTON, NY

Past

January 2, 2002 - September 3, 2002

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

February 22, 2001 - January 2, 2002

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

December 15, 1998 - December 22, 2000

MORGAN, TAYLOR & ASSOCIATES, INC.

CRD#: 37447

MINEOLA, NY

Past

November 11, 1998 - December 3, 1998

MORGAN, TAYLOR & ASSOCIATES, INC.

CRD#: 37447

Past

June 10, 1997 - October 21, 1998

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

January 3, 1996 - July 30, 1997

H G I

CRD#: 14079

JERICHO, NY

Past

February 2, 1994 - December 1, 1994

H G I

CRD#: 14079

JERICHO, NY

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

California
(3/24/2025)

Florida
(6/16/2025)

Georgia
(3/24/2025)

Indiana
(9/20/2024)

Minnesota
(10/3/2025)

Mississippi
(8/15/2024)

New York
(2/21/2019)

North Carolina
(8/19/2024)

Ohio
(11/2/2021)

Pennsylvania
(3/24/2025)

Texas
(3/24/2025)

Virginia
(3/24/2025)

Wisconsin
(8/15/2024)

Exams

State Security Law Exam

Series 63

Date: 2/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/7/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/1/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/22/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/22/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 27

Date: 3/12/1998

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/16/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 2/26/1997

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/29/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RICHARD JAMES & ASSOCIATES, INC.

CRD#: 169131 / SEC#: , 8-69352

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

2 Roosevelt Ave. Ste 102, Syosset, NY 11791

Mailing Address

2 Roosevelt Ave. Ste 102, Syosset, NY 11791

Phone number

(516) 200-3174

Established

New York since 08/14/2013

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WINDERMERE ENTERPRISES, LLC	SHAREHOLDER
FLORIO, PHILIP	CCO/CEO	2377440
HALPERN, BARBARA DIANE	FINOP	711919

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.

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Firm Stability Insights

Philip Florio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

RICHARD JAMES & ASSOCIATES, INC.

AVANTAX INVESTMENT SERVICES, INC.

LEGEND SECURITIES, INC.

ROCKWELL GLOBAL CAPITAL LLC

CLARK DODGE & CO., INC.

J.P. TURNER & COMPANY, L.L.C.

BRUNDYN SECURITIES INC.

S.W. BACH & COMPANY

HARRISON SECURITIES, INC.

HARRISON SECURITIES, INC.

OPPENHEIMER & CO. INC.

JOSEPHTHAL & CO., INC.

MORGAN, TAYLOR & ASSOCIATES, INC.

MORGAN, TAYLOR & ASSOCIATES, INC.

NATIONAL SECURITIES CORPORATION

H G I

H G I

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/1994

Series 52TO

Date: 1/2/2023

SIE

Date: 7/13/2018

Series 55

Date: 5/7/1999

Series 7

Date: 2/1/1994

Series 10

Date: 6/22/2001

Series 9

Date: 3/22/2001

Series 27

Date: 3/12/1998

Series 4

Date: 10/16/1997

Series 53

Date: 2/26/1997

Series 24

Date: 2/29/1996

FINRA

Current Firm

RICHARD JAMES & ASSOCIATES, INC.

Contact information

FINRA licenses (36 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RICHARD JAMES & ASSOCIATES, INC.

TRUST BUT VERIFY

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