Philip J. O'toole

BEACON FINANCIAL ADVISORY LLC

Cleveland, OH 44122

Some features on this profile are disabled

CRD#: 4039027

Professional summary

Philip James O'toole, CIMA®, who also goes by Flip O'toole, Philip J. O'toole, Philip James O'toole, Philip Otoole, is a registered financial advisor currently at BEACON FINANCIAL ADVISORY LLC located in Cleveland, Ohio and LINCOLN INVESTMENT located in Cleveland, Ohio.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Philip has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Flip O'toole | Philip J. O'toole | Philip James O'toole | Philip Otoole

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.

INSURANCE & ANNUITY SALES - BEACON FINANCIAL PARTNERS POSITION: Agent/Sales NATURE: Insurance/Annuity Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2023 ADDRESS: 25825 Science Park, #11D, Cleveland OH 44122, United States DESCRIPTION: Sales/consulting BEACON FINANCIAL ADVISORY, LLC POSITION: IAR NATURE: RIA/Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 8 START DATE: 11/01/2023 ADDRESS: 25825 Science Park, #11D, Cleveland OH 44122, United States DESCRIPTION: Financial Advisor/Consulting

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip James O'toole's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 9, 2023 - Present

BEACON FINANCIAL ADVISORY LLC

Office #1: 25825 Science Park Drive Suite 110, Cleveland, OH 44122

RIA

CRD#: 174334

Cleveland, OH

Current

November 2, 2023 - Present

LINCOLN INVESTMENT

Office #1: 25825 Science Park Drive Suite 110, Cleveland, OH 44122

RIA

CRD#: 519

Cleveland, OH

Past

June 13, 2022 - November 16, 2023

FOURTH DIMENSION WEALTH, LLC

RIA

CRD#: 306703

MIDDLEBURG HEIGHTS, OH

Past

May 23, 2022 - November 16, 2023

LPL FINANCIAL LLC

CRD#: 6413

MIDDLEBURG HEIGHTS, OH

Past

January 4, 2021 - May 20, 2022

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

November 7, 2017 - December 31, 2020

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

August 23, 2010 - May 20, 2022

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

August 3, 2006 - August 18, 2010

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

February 19, 2004 - August 7, 2006

HINES PRIVATE WEALTH SOLUTIONS LLC

CRD#: 128145

HOUSTON, TX

Past

May 8, 2003 - February 24, 2004

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA

CRD#: 104518

CHICAGO, IL

Past

February 16, 2001 - February 24, 2004

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

January 28, 2000 - April 10, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

BEACON FINANCIAL ADVISORY LLC

BEACON FINANCIAL ADVISORY LLC | TARTAN WEALTH MANAGEMENT | PISTONE WEALTH ADVISORS | FNA WEALTH MANAGEMENT LTD | BEACON FINANCIAL PARTNERS

CRD#: 174334 / SEC#: 801-108381

RIA

Registered Investment Advisory firm - (9/12/2016 Approved)

Ohio

Registered Investment Advisory firm - (9/14/2016 Terminated)

Texas

Registered Investment Advisory firm - (9/14/2016 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/6/2025)

Georgia
(3/19/2024)

Iowa
(12/17/2024)

Michigan
(11/2/2023)

Ohio
(11/2/2023)

IAR

Ohio
(11/9/2023)

South Carolina
(4/22/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/30/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BEACON FINANCIAL ADVISORY LLC

BEACON FINANCIAL ADVISORY LLC | TARTAN WEALTH MANAGEMENT | PISTONE WEALTH ADVISORS | FNA WEALTH MANAGEMENT LTD | BEACON FINANCIAL PARTNERS

CRD#: 174334 / SEC#: 801-108381

RIA

Registered Investment Advisory firm - (9/12/2016 Approved)

Ohio

Registered Investment Advisory firm - (9/14/2016 Terminated)

Texas

Registered Investment Advisory firm - (9/14/2016 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

25825 Science Park Drive Suite 110, Cleveland, OH 44122

Mailing Address

Phone number

(216) 910-1850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/7/2025)

WRAP FEE PROGRAM (3/7/2025)

Regulatory assets under management

Total Number of Accounts	2,083
AUM (Assets Under Management)	$ 677,635,130

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.

Similar Advisors

Boris Kagarlitskiy

KEY INVESTMENT SERVICES LLC

IAR

University Heights, OH

James Magyari

COMMONWEALTH FINANCIAL NETWORK

IAR

Solon, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Philip J. O'toole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip James O'toole's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN INVESTMENT

FOURTH DIMENSION WEALTH, LLC

LPL FINANCIAL LLC

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

CALAMOS FINANCIAL SERVICES LLC

HINES PRIVATE WEALTH SOLUTIONS LLC

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

DWS DISTRIBUTORS, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

BEACON FINANCIAL ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/30/2017

Series 65

Date: 12/8/1999

Series 63

Date: 12/1/1999

SIE

Date: 10/1/2018

Series 7

Date: 11/24/1999

FINRA

Current Firm

BEACON FINANCIAL ADVISORY LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BEACON FINANCIAL ADVISORY LLC

TRUST BUT VERIFY

Similar Advisors