Philip T. Hamilton
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 Thomas Hamilton, who also goes by Phillip Thomas Hamilton, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1996. Philip had worked at 3 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2017 - June 7, 2024
DIABLO VISTA CAPITAL, LLC
April 26, 2000 - March 16, 2017
INSIGHT CAPITAL RESEARCH & MANAGEMENT INC
December 24, 1996 - November 25, 1998
ARK FUNDS DISTRIBUTORS, LLC
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
DIABLO VISTA CAPITAL, LLC
CRD#: 155830 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 78,203,213 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Maine | ERA - Withdrawn | 2/17/2021 |
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.
