Philip A. Carone
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 A Carone JR., who also goes by Philip A Carone, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2000. Philip had worked at 5 firms and has passed the SIE, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2015 - September 29, 2017
GLOBAL DIRECT EQUITIES, LLC
March 23, 2011 - November 13, 2012
ILLUSTRO TRADING, LLC
December 17, 2010 - August 27, 2015
DOYLE, INC.
May 12, 2008 - January 3, 2011
MICHAEL P. O'KEEFE INC.
March 24, 2000 - June 6, 2008
THOMAS WEISEL PARTNERS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 25
Date: 7/11/2000
NYSE Trading Assistant ExaminationCurrent Firm
GLOBAL DIRECT EQUITIES, LLC
CRD#: 124514 / SEC#: , 8-65689
Contact information
Documents
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.
