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PF

Philip J. Falivene

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CRD#: 2738301
PF

Professional summary

Philip James Falivene, who also goes by Phil James Falivene, was a registered financial professional .

Philip is registered as a RR (Registered Representative) and started their career in finance in 1996. Philip had worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phil James Falivene

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 17, 1996 - December 11, 2007

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New Jersey
(11/23/2021)
RR
New York
(11/24/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/23/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/8/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/11/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BNY CAPITAL MARKETS INC.
BNE ASSOCIATES, INCORPORATED | BNY CAPITAL MARKETS, LLC | BNY CAPITAL MARKETS INC. | BNY ASSOCIATES INCORPORATED

CRD#: 18303 / SEC#: , 8-36321

BD
Terminated by SEC on 07/07/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/01/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BNY CAPITAL MARKETS HOLDINGS, INC.SOLE SHAREHOLDER OF BNY CAPITAL MARKETS, INC.
DICHIARA, JOHN JCHIEF COMPLIANCE OFFICER1301800
GAVIN, JOHN MICHAEL JRCHIEF FINANCIAL OFFICER/DIRECTOR1664901
STRUMEYER, GARY MITCHELLPRESIDENT/GENERAL PRINCIPAL1157466

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.

Company Information

BNY CAPITAL MARKETS INC.

CRD#: 18303

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