Philip A. Mooberry

CADENT CAPITAL ADVISORS

Tulsa, OK 74137

Some features on this profile are disabled

CRD#: 4451496

Professional summary

Philip Andrew Mooberry is a registered financial advisor currently at CADENT CAPITAL ADVISORS, LLC located in Tulsa, Oklahoma.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Philip has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)OPI; STONEHAVEN SQUARE, LLC; PRIVATE ENTITY, DATE OF COMMITMENT-2015; 2)OPI; TERRAMOO, LLC; PRIVATE ENTITY; DATE OF COMMITMENT-2015; 3)OPI; FIFTH PLACE INVESTORS, LLC; PRIVATE ENTITY; DATE OF COMMITMENT- 2025 4)OPI; TULSA BIXBY INVESTORS, LLC; PRIVATE ENTITY, DATE OF COMMITMENT- 2023

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Andrew Mooberry'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®

None

Experience

Current

January 8, 2014 - Present

CADENT CAPITAL ADVISORS, LLC

Office #1: 4525 East 91st Street, Tulsa, OK 74137

RIA

CRD#: 169704

Tulsa, OK

Past

October 16, 2012 - August 20, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

TULSA, OK

Past

September 27, 2012 - January 30, 2014

SOWELL MANAGEMENT

RIA

CRD#: 127145

NORTH LITTLE ROCK, AR

Past

April 4, 2011 - October 1, 2012

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

TULSA, OK

Past

April 1, 2011 - October 1, 2012

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

TULSA, OK

Past

June 1, 2009 - April 19, 2011

MORGAN STANLEY

RIA

CRD#: 149777

TULSA, OK

Past

June 1, 2009 - April 19, 2011

MORGAN STANLEY

CRD#: 149777

TULSA, OK

Past

May 12, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TULSA, OK

Past

April 21, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TULSA, OK

Past

November 15, 2001 - May 7, 2008

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

TULSA, OK

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".

CADENT CAPITAL ADVISORS, LLC

CADENCE CAPITAL MANAGEMENT, LLC | MOOBERRY, PHILIP A. | CADENT CAPITAL ADVISORS, LLC

CRD#: 169704 / SEC#: 801-78860

RIA

Registered Investment Advisory firm - (12/2/2013 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Oklahoma
(1/8/2014)

IAR

Texas
(1/8/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/6/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/14/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CADENT CAPITAL ADVISORS, LLC

CADENCE CAPITAL MANAGEMENT, LLC | MOOBERRY, PHILIP A. | CADENT CAPITAL ADVISORS, LLC

CRD#: 169704 / SEC#: 801-78860

RIA

Registered Investment Advisory firm - (12/2/2013 Approved)

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

4525 East 91st Street, Tulsa, OK 74137

Mailing Address

Phone number

(918) 935-3450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CADENT CAPITAL MANAGEMENT, LLC (7/7/2025)

Regulatory assets under management

Total Number of Accounts	1,315
AUM (Assets Under Management)	$ 651,008,144

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

Darin Kight

LPL FINANCIAL LLC

IAR

Tulsa, OK

Thomas Loper

CORNERSTONE WEALTH MANAGEMENT, LLC

IAR

Tulsa, OK

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Philip A. Mooberry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Andrew Mooberry's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SOWELL MANAGEMENT

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

ALLSTATE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CADENT CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/2008

Series 63

Date: 11/19/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/15/2003

Series 6

Date: 11/14/2001

Current Firm

CADENT CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CADENT CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors