Philip H. Lundy
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 Harold Lundy JR was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1971. Philip had worked at 5 firms and has passed the F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 1995 - November 19, 1996
FAS WEALTH MANAGEMENT SERVICES, INC.
April 7, 1994 - December 31, 1994
FAS WEALTH MANAGEMENT SERVICES, INC.
January 23, 1990 - March 22, 1994
CREST CAPITAL, INC.
February 14, 1978 - September 13, 1988
LUNDY SECURITIES CORPORATION
June 30, 1975 - February 9, 1978
LPL FINANCIAL LLC
March 16, 1971 - July 16, 1975
LFG SECURITIES, 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
F04
Date: 3/8/1973
Financial Principal ExaminationSeries 00
Date: 3/8/1971
General Securities Principal ExaminationCurrent Firm
FAS WEALTH MANAGEMENT SERVICES, INC.
CRD#: 10164 / SEC#: , 8-26618
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAS GROUP, INC. | SHAREHOLDER | |
| DELLAPENNA, GAETON STARK | CHIEF COMPLIANCE OFFICER,PRESIDENT/TREASURER/CFO/CEO | 1287224 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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