Phil G. Fiore

PROCYON

Shelton, CT 06484

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CRD#: 2547584

Professional summary

Phil Giuseppe Fiore JR, CIMA®, who also goes by Felice G Fiore Jr, Phil G Fiore Jr, Phil Fiore Jr, is a registered financial advisor currently at PROCYON located in Shelton, Connecticut.

Phil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Phil has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Felice G Fiore Jr | Phil G Fiore Jr | Phil Fiore Jr

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.

1) Procyon Benefits, LLC; Investment Related: No; One Corporate Drive, STE 225, Shelton, CT. 06484; Health Insurance Broker/Agency; Member; Since 6/1/2021; 5 Hours per month; Strategy relating. 2) Procyon Tax, LLC; Not Investment Related; One Corporate Drive, Shelton CT 06484; Partner; 1/1/2022; 4 Hours per month; Strategy. 3) Insurance Producer; Not Investment Related; One Corporate Drive, Shelton CT 06484; Insurance. Producer; Start 1/1/2022; 2 hours per month. 4) Procyon Risk LLC; Not investment related; One Corporate Drive, Shelton CT 06484; Insurance Agency. Managing Director; 5/31/2022; 5 hrs/mo; Managing the entity and it's risk partner.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phil Giuseppe Fiore JR'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 24, 2017 - Present

PROCYON

Office #1: 1 Corporate Drive Suite 225, Shelton, CT 06484

RIA

CRD#: 288239

Shelton, CT

Past

November 30, 2017 - February 2, 2022

PROCYON INSTITUTIONAL PARTNERS, LLC

RIA

CRD#: 288244

SHELTON, CT

Past

April 24, 2009 - December 21, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

STAMFORD, CT

Past

April 24, 2009 - December 21, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

STAMFORD, CT

Past

November 2, 2005 - May 1, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FAIRFIELD, CT

Past

October 28, 2005 - May 1, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FAIRFIELD, CT

Past

July 1, 2003 - November 1, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WESTPORT, CT

Past

July 1, 2003 - November 1, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 5, 1995 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

WESTPORT, CT

Past

November 2, 1994 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/24/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/4/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/20/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/1/1994

General Securities Representative Examination

Current Firm

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

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Contact information

Main Address

1 Corporate Drive Suite 225, Shelton, CT 06484

Mailing Address

Phone number

(475) 232-2704

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROCYON DISCLOSURE BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	5,638
AUM (Assets Under Management)	$ 7,769,672,465

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

Phil G. Fiore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phil Giuseppe Fiore JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROCYON INSTITUTIONAL PARTNERS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

PROCYON

State Registrations and Notice Filings

Exams

Series 65

Date: 11/14/1994

Series 63

Date: 11/4/1994

SIE

Date: 12/21/2016

Series 3

Date: 12/20/1994

Series 7

Date: 11/1/1994

Current Firm

PROCYON

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROCYON

TRUST BUT VERIFY

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