Philip O. Svartoien
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 Olen Svartoien, who also goes by Philip O Svartoien, Philip Svartoien, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1994. Philip had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2012 - December 31, 2017
RAINMAKER ADVISORS
March 28, 2011 - April 9, 2012
STONE WEALTH MANAGEMENT, L.L.C.
April 4, 2008 - February 11, 2011
QA3 FINANCIAL LLC
April 4, 2008 - February 11, 2011
QA3 FINANCIAL CORP.
January 8, 2007 - February 22, 2008
LPL FINANCIAL LLC
January 5, 2007 - February 22, 2008
LPL FINANCIAL LLC
June 14, 2000 - January 19, 2007
INVESTMENT CENTERS OF AMERICA, INC.
November 17, 1999 - January 19, 2007
INVESTMENT CENTERS OF AMERICA, INC.
October 29, 1996 - May 13, 1999
PRUCO SECURITIES, LLC.
October 5, 1995 - June 19, 1996
PRUCO SECURITIES, LLC.
January 10, 1994 - June 19, 1996
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
RAINMAKER ADVISORS
CRD#: 161783 / SEC#:
Contact information
Red Flags
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