Philip Lefton
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 Lefton was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1998. Philip had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - July 2, 2019
SHEARSON FINANCIAL SERVICES, LLC
March 19, 2015 - April 6, 2015
SHEARSON FINANCIAL SERVICES, LLC
October 9, 2013 - June 24, 2014
BUCKMAN, BUCKMAN & REID, INC.
May 2, 2006 - September 30, 2013
NEWBRIDGE SECURITIES CORPORATION
April 1, 2003 - April 28, 2006
CAPITAL GROWTH FINANCIAL, LLC
September 4, 1998 - April 1, 2003
J. B. HANAUER & CO.
February 26, 1998 - August 25, 1998
GOLDEN HARRIS CAPITAL GROUP, 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
Current Firm
SHEARSON FINANCIAL SERVICES, LLC
CRD#: 38619 / SEC#: 801-61866, 8-48313
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
