Phillip Gurgone
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.
Phillip Gurgone was a registered financial advisor .
Phillip is a previously registered financial advisor and started their career in finance in 2002. Phillip had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2014 - July 16, 2015
TRAC ASSET MANAGEMENT LLC
July 10, 2014 - December 31, 2014
KENILWORTH ASSET MANAGEMENT, LLC
July 4, 2013 - December 11, 2015
BENJAMIN & JEROLD BROKERAGE I, LLC
October 3, 2011 - July 19, 2013
AMERICAN TRUST INVESTMENT SERVICES, INC.
March 18, 2005 - January 5, 2007
B. RILEY WEALTH ADVISORS, INC.
January 11, 2005 - October 4, 2011
NATIONAL SECURITIES CORPORATION
April 19, 2002 - January 18, 2005
A. G. EDWARDS & SONS, INC.
February 12, 2002 - January 18, 2005
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRAC ASSET MANAGEMENT LLC
CRD#: 170662 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 82 |
| AUM (Assets Under Management) | $ 57,472,275 |
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.
