Philip A. Riposo
Professional summary
Philip Anthony Riposo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Philip had worked at 14 firms, which includes UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, CADARET GRANT & CO. INC., LPL FINANCIAL LLC, SECURITIES AMERICA INC., WALNUT STREET SECURITIES INC., ADVEST INC., E. F. HUTTON & COMPANY INC, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC., AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2016 - March 8, 2022
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
December 8, 2015 - December 10, 2015
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
December 7, 2015 - March 8, 2022
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 4, 2008 - December 9, 2015
CADARET, GRANT & CO., INC.
March 4, 2008 - December 9, 2015
CADARET, GRANT & CO., INC.
June 12, 2006 - March 12, 2008
LPL FINANCIAL LLC
January 10, 2000 - March 12, 2008
LPL FINANCIAL LLC
January 3, 1997 - November 5, 1999
SECURITIES AMERICA, INC.
May 19, 1992 - December 31, 1996
WALNUT STREET SECURITIES, INC.
October 2, 1989 - December 31, 1991
CADARET, GRANT & CO., INC.
November 8, 1988 - October 2, 1989
CADARET, GRANT & CO., INC.
March 26, 1987 - October 4, 1988
ADVEST, INC.
September 14, 1984 - March 4, 1987
E. F. HUTTON & COMPANY INC
August 24, 1983 - July 10, 1984
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - September 27, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 31, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 1, 1973 - October 18, 1974
AMERICAN EXPRESS FINANCIAL CORPORATION
May 1, 1973 - October 18, 1974
AMERIPRISE FINANCIAL SERVICES, LLC
May 1, 1973 - October 18, 1974
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/25/1973
Registered Representative ExaminationCurrent Firm
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
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