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Philip Anthony Sisca

CRD# 4224995·Registered 2000 - 2012
Previously Registered: Being a previously registered professional could mean that Philip 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.

Professional Summary

Philip Anthony Sisca was a registered financial advisor. Philip was a previously registered financial professional and started their career in finance 2000 - 2012. Philip had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

BENDIGO SECURITIES, LLC·CRD# 152529
BD
New York, NY
August 2, 2011 - March 8, 2012
G1 EXECUTION SERVICES, LLC·CRD# 111528
BD
Chicago, IL
May 25, 2010 - August 10, 2010
E*TRADE SECURITIES LLC·CRD# 29106
BD
Jersey City, NJ
July 18, 2008 - August 10, 2010
G1 EXECUTION SERVICES, LLC·CRD# 111528
BD
New York, NY
March 3, 2008 - July 18, 2008
SANDERS MORRIS LLC·CRD# 20580
RIA
Greenwich, CT
June 21, 2006 - December 8, 2006
SMH CAPITAL ADVISORS LLC·CRD# 108344
RIA
New York, NY
August 30, 2005 - December 8, 2006
SANDERS MORRIS LLC·CRD# 20580
BD
Greenwich, CT
August 30, 2005 - December 8, 2006
MID ATLANTIC FINANCIAL MANAGEMENT, INC.·CRD# 109771
RIA
Katonah, NY
July 20, 2005 - August 30, 2005
NEWEDGE SECURITIES, LLC·CRD# 10674
BD
Pittsburgh, PA
May 3, 2004 - August 30, 2005
LONDON PACIFIC SECURITIES, INC.·CRD# 25089
BD
Sacramento, CA
September 19, 2000 - May 3, 2004

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Current Firm

BS
BENDIGO SECURITIES, LLC

BENDIGO SECURITIES, LLC | CROWDCLEAR

CRD#: 152529 / SEC#: 8-68462
BD
Terminated by SEC on 11/28/2015

Contact Information

Established

Delaware since 10/21/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CROWD CLEAR INC.SOLE OWNER—
KATZ, MICHAEL RONALDCHIEF COMPLIANCE OFFICER & AML873982
KATZ, MICHAEL RONALDCOO873982
REYES, CHRISTOPHER VALENTINFINOP2105804
TAYLOR, RICHARD DAVIDCEO4944380

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2001About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2000About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 2005

Series 3 — National Commodity Futures Examination

Passed Jul 2005About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Sep 2000About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 2009About the Series 24 exam

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CRS (Client Relationship Summary)

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

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