Philip M. Proctor
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 Mark Proctor, who also goes by Phillip Mark Proctor, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1970. Philip had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2000 - December 31, 2011
S&P INVESTORS, INC.
August 12, 1999 - August 29, 2000
WATERFORD CAPITAL, INC.
August 10, 1993 - June 2, 1999
PINEWOOD SECURITIES, CORP.
February 10, 1992 - August 23, 1993
WATERFORD CAPITAL, INC.
December 12, 1986 - March 16, 1992
PRIVATE BROKERS CORPORATION
July 16, 1985 - December 18, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 1984 - November 20, 1984
CULLUM & SANDOW, INC.
September 8, 1970 - March 26, 1971
FIRST OF TX
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
Current Firm
S&P INVESTORS, INC.
CRD#: 18421 / SEC#: , 8-36653
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
