Philip E. Merchant
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 Everett Merchant was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1972. Philip had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 1 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
May 1, 1995 - December 31, 2017
MERCHANT ADVISORY, INC.
January 10, 1994 - June 23, 1994
OSAIC WEALTH, INC.
November 19, 1989 - November 24, 1993
OSAIC WEALTH, INC.
October 31, 1979 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 24, 1977 - November 29, 1979
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
August 27, 1973 - November 18, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 2, 1972 - August 31, 1973
MITCHUM, JONES & TEMPLETON 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: 4/17/1972
Registered Representative ExaminationSeries 40
Date: 12/18/1978
Registered Principal ExaminationCurrent Firm
MERCHANT ADVISORY, INC.
CRD#: 117143 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
