Philip L. Salice
Professional summary
Philip Lawrence Salice was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Philip had worked at 7 firms, which includes DELTA ASSET MANAGEMENT COMPANY LLC, WIN CAPITAL CORP., FAB SECURITIES OF AMERICA INC., INTERNATIONAL BOND AND SHARE INC., MORGAN GRANT CAPITAL CORP., HARVESTONS SECURITIES INC., ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2000 - July 17, 2003
DELTA ASSET MANAGEMENT COMPANY, LLC
January 1, 1999 - May 5, 2000
WIN CAPITAL CORP.
October 19, 1998 - December 4, 1998
FAB SECURITIES OF AMERICA, INC.
August 25, 1998 - December 18, 1998
INTERNATIONAL BOND AND SHARE, INC.
May 1, 1998 - August 25, 1998
MORGAN GRANT CAPITAL CORP.
April 15, 1998 - May 11, 1998
HARVESTONS SECURITIES, INC.
November 25, 1997 - April 15, 1998
INTERNATIONAL BOND AND SHARE, INC.
September 2, 1997 - October 3, 1997
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
DELTA ASSET MANAGEMENT COMPANY, LLC
CRD#: 39923 / SEC#: , 8-48888
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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