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RC

Ronald V. Cantalupo

PHX FINANCIAL
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 3137208
RC

Professional summary

Ronald Vincent Cantalupo, who also goes by Ronald Cantalupo, is a registered financial professional currently at PHX FINANCIAL, INC. located in Fort Lauderdale, Florida.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1999. Ronald has worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ronald Cantalupo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Vincent Cantalupo's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 25, 2021 - Present

PHX FINANCIAL, INC.

Office #1: 1 East Broward Boulevard, Fort Lauderdale, FL 33301
BD
CRD#: 144403
Fort Lauderdale, FL
Past

June 18, 2019 - January 29, 2021

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

December 15, 2015 - June 28, 2019

PORTFOLIO ADVISORS ALLIANCE, LLC

BD
CRD#: 101680
NEW YORK, NY
Past

June 19, 2013 - May 19, 2015

PORTFOLIO ADVISORS ALLIANCE, LLC

BD
CRD#: 101680
NEW YORK, NY
Past

February 21, 2008 - June 19, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

May 25, 2006 - March 25, 2008

PRESTIGE FINANCIAL CENTER, INC.

BD
CRD#: 30407
NEW YORK, NY
Past

December 16, 2005 - May 24, 2006

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

November 28, 2003 - December 15, 2005

S.W. BACH & COMPANY

BD
CRD#: 43522
NEW YORK, NY
Past

November 20, 2002 - December 12, 2003

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

January 2, 2002 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

May 10, 2001 - January 2, 2002

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

April 26, 1999 - May 14, 2001

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/25/2021)
RR
Arkansas
(6/16/2022)
RR
California
(1/25/2021)
RR
Colorado
(7/6/2023)
RR
District of Columbia
(1/25/2021)
RR
Florida
(3/22/2021)
RR
Georgia
(2/1/2021)
RR
Hawaii
(6/29/2022)
RR
Illinois
(3/1/2024)
RR
Indiana
(8/1/2022)
RR
Iowa
(10/3/2023)
RR
Kansas
(2/27/2023)
RR
Louisiana
(1/25/2021)
RR
Maryland
(5/10/2022)
RR
Michigan
(6/16/2022)
RR
Minnesota
(7/28/2022)
RR
Nebraska
(1/25/2021)
RR
Nevada
(8/29/2023)
RR
New Jersey
(1/25/2021)
RR
New York
(1/25/2021)
RR
North Carolina
(2/8/2021)
RR
Ohio
(7/25/2022)
RR
Oregon
(5/26/2022)
RR
Pennsylvania
(12/13/2023)
RR
Rhode Island
(1/25/2021)
RR
South Carolina
(1/25/2021)
RR
Texas
(1/25/2021)
RR
Wyoming
(9/26/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/17/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

PHX FINANCIAL, INC.

CRD#: 144403Fort Lauderdale, FL 33301

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