Philip R. Quatrale
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 Richard Quatrale 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, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2017 - October 19, 2018
FALCON SQUARE CAPITAL, LLC
July 7, 2014 - January 3, 2017
ACADEMY SECURITIES, INC.
October 9, 2001 - July 15, 2014
CAROLINA CAPITAL MARKETS, INC.
April 4, 1996 - July 14, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 1994 - September 12, 1995
HENNION & WALSH, INC.
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
FALCON SQUARE CAPITAL, LLC
CRD#: 165225 / SEC#: , 8-69147
Contact information
FINRA licenses (16 States and Territories)
Documents
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.
