Philip E. Brickley
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 Edward Brickley was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1970. Philip had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 1, Series 000, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2005 - June 21, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 8, 2000 - August 29, 2005
MORGAN STANLEY DW INC.
July 2, 1993 - September 15, 2000
TUCKER ANTHONY INCORPORATED
May 4, 1984 - July 27, 1993
LEHMAN BROTHERS INC.
February 8, 1982 - April 16, 1984
MOSELEY SECURITIES CORPORATION
October 5, 1978 - January 29, 1982
BURBANK & COMPANY, INC.
May 8, 1972 - November 5, 1978
ADVEST, INC.
March 19, 1970 - May 27, 1972
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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 1
Date: 7/1/1969
Registered Representative ExaminationSeries 000
Date: 5/1/1969
General Securities Principal ExaminationSeries 12
Date: 1/15/1983
NYSE Branch Manager ExaminationSeries 40
Date: 12/2/1978
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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