Philip J. Novisky

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CRD#: 349673

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 John Novisky was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1970. Philip had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 23, 2014 - July 5, 2016

AFFIANCE FINANCIAL LLC

RIA

CRD#: 113200

ST. LOUIS PARK, MN

Past

January 8, 2014 - July 1, 2016

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ST LOUIS PARK, MN

Past

May 20, 2002 - December 31, 2003

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ST LOUIS PARK, MN

Past

November 22, 1996 - July 1, 2016

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ST LOUIS PARK, MN

Past

August 22, 1994 - November 25, 1996

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

March 30, 1983 - August 26, 1994

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

NEW YORK, NY

Past

September 29, 1970 - April 5, 1983

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AFFIANCE FINANCIAL LLC

AFFIANCE FINANCIAL | AFFIANCE FINANCIAL, LLC | AFFIANCE FINANCIAL LLC

CRD#: 113200 / SEC#: 801-78208

RIA

Registered Investment Advisory firm - (6/17/2013 Approved)

Minnesota

Registered Investment Advisory firm - (6/24/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/26/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 9/24/1970

Registered Representative Examination

Current Firm

AFFIANCE FINANCIAL LLC

AFFIANCE FINANCIAL | AFFIANCE FINANCIAL, LLC | AFFIANCE FINANCIAL LLC

CRD#: 113200 / SEC#: 801-78208

RIA

Registered Investment Advisory firm - (6/17/2013 Approved)

Minnesota

Registered Investment Advisory firm - (6/24/2013 Terminated)

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Contact information

Main Address

600 Highway 169 South Suite 1750, St. Louis Park, MN 55426

Mailing Address

Phone number

(952) 544-9818

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFFIANCE FORM ADV BROCHURE (9/30/2025)

Regulatory assets under management

Total Number of Accounts	3,799
AUM (Assets Under Management)	$ 1,145,705,199

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.

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Advisor Monitoring

Firm Stability Insights

Philip J. Novisky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

FSC SECURITIES CORPORATION

OLD SLIP CAPITAL MANAGEMENT, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

AFFIANCE FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1982

SIE

Date: 7/1/2016

Series 1

Date: 9/24/1970

Current Firm

AFFIANCE FINANCIAL LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AFFIANCE FINANCIAL LLC

TRUST BUT VERIFY

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