Philip E. Falzone
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 Eugene Falzone was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1994. Philip had worked at 5 firms and has passed the Series 63, Series 6TO, SIE 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
September 13, 2021 - February 28, 2022
AVANTAX ADVISORY SERVICES
August 29, 2014 - February 28, 2022
AVANTAX INVESTMENT SERVICES, INC.
November 22, 2013 - September 8, 2014
NATIONAL SECURITIES CORPORATION
December 1, 1994 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
October 13, 1994 - December 16, 1994
TRUSTED SECURITIES ADVISORS CORP.
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 6TO
Date: 3/24/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
