Philip Scanlon
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 Scanlon, who also goes by Philip R Scanlon, Philip Rolph Scanlon, Philip Scanlon, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1996. Philip had worked at 13 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, 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 13, 2021 - September 12, 2022
THALES CAPITAL PARTNERS LLC
January 4, 2021 - August 6, 2021
QUASAR DISTRIBUTORS, LLC
May 12, 2020 - October 20, 2020
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
July 18, 2019 - October 31, 2019
PRUCO SECURITIES, LLC.
September 5, 2013 - October 22, 2014
TERRA CAPITAL MARKETS LLC
March 8, 2012 - May 28, 2013
SIP NORDIC AMERICA LLC
March 3, 2011 - March 1, 2012
VALIC FINANCIAL ADVISORS, INC.
December 23, 2010 - March 1, 2012
VALIC FINANCIAL ADVISORS, INC.
July 9, 2008 - December 10, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
June 25, 2003 - June 18, 2008
VOYA FINANCIAL PARTNERS, LLC
June 5, 2002 - January 2, 2003
PARK AVENUE SECURITIES LLC
January 14, 1998 - August 4, 1998
UAM FUND DISTRIBUTORS, INC.
August 29, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 29, 1996 - December 5, 1997
SIGNATOR INVESTORS, 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
Series 7TO
Date: 7/18/2019
General Securities Representative ExaminationCurrent Firm
THALES CAPITAL PARTNERS LLC
CRD#: 172125 / SEC#: , 8-69498
Contact information
FINRA licenses (19 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.
