Phillip Fine

CONSTANTIA CAPITAL LLC

Lawrenceville, NJ 08648

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CRD#: 5182758

Professional summary

Phillip Fine, who also goes by Phil Fine, is a registered financial advisor currently at CONSTANTIA CAPITAL LLC located in Lawrenceville, New Jersey.

Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Phillip has worked at 2 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phil Fine

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Fine's 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

July 26, 2016 - Present

CONSTANTIA CAPITAL LLC

Office #1: 17 Hendrickson Road Suite 100, Lawrenceville, NJ 08648

RIA

CRD#: 167095

Lawrenceville, NJ

Past

August 9, 2006 - September 3, 2010

H. RIVKIN & CO., INC.

CRD#: 29459

PENNINGTON, NJ

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

New Jersey
(7/26/2016)

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: 7/7/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 8/8/2006

General Securities Representative Examination

Current Firm

CONSTANTIA CAPITAL LLC

CONSTANTIA CAPITAL LIMITED LIABILITY COMPANY | CONSTANTIA CAPITAL LLC

CRD#: 167095 / SEC#:

Massachusetts

Registered Investment Advisory firm - (12/31/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (5/29/2013 Approved)

New York

Registered Investment Advisory firm - (11/30/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/20/2016 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

17 Hendrickson Road Suite 100, Lawrenceville, NJ 08648

Mailing Address

Phone number

(609) 512-1812

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 15,638,721

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.

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Phillip Fine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Fine's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONSTANTIA CAPITAL LLC

H. RIVKIN & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2016

Series 7

Date: 8/8/2006

Current Firm

CONSTANTIA CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CONSTANTIA CAPITAL LLC

TRUST BUT VERIFY

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