Philip Charles Stapleton
Professional Summary
Philip Charles Stapleton, who also goes by Phil Stapleton, was a registered financial advisor. Philip was a previously registered financial professional and started their career in finance 1973 - 2015. Philip had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 16, Series 000, Series 14, Series 27 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Phil Stapleton
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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
53 years in the financial services industry
Current & Past Employments
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Current Firm
CONIFER SECURITIES LLC | JWGENESIS CAPITAL MARKETS LLC | GENESIS MERCHANT GROUP SECURITIES LLC | GENESIS MERCHANT GROUP SECURITIES L.P. | COWEN PRIME SERVICES TRADING LLC
Contact Information
Established
California since 05/08/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN PB HOLDINGS LLC | DIRECT PARENT AND MEMBER | — |
| BYRNE, WILLIAM FRANCIS | MANAGING DIRECTOR TRADING | 2152584 |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| COHEN, STEVEN ANDREW | CHIEF COMPLIANCE OFFICER | 2218249 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER | 1281617 |
| MARTIN, GEOFF JOSEPH | ROP | 4055156 |
| SIMMONS, JAMES ROBERT | CHIEF FINANCIAL OFFICER | 1327561 |
Disclosures
Regulatory Event
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 000 — General Securities Principal Examination
Passed Apr 1973Series 40 — Registered Principal Examination
Passed May 1973Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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