Philip M. Connors
Professional summary
Philip Michael Connors was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial advisor and started their career in finance in 2011. Prior to being barred, Philip had worked at 6 firms, which includes MONMOUTH CAPITAL MANAGEMENT LLC, WORDEN CAPITAL MANAGEMENT LLC, LAIDLAW & COMPANY (UK) LTD., ARISTON WEALTH MANAGEMENT L.P., WINDSOR STREET CAPITAL LP, BUCKMAN BUCKMAN & REID INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2021 - April 8, 2022
MONMOUTH CAPITAL MANAGEMENT LLC
August 25, 2017 - August 3, 2021
WORDEN CAPITAL MANAGEMENT LLC
December 26, 2013 - September 20, 2017
LAIDLAW & COMPANY (UK) LTD.
February 20, 2013 - July 9, 2013
ARISTON WEALTH MANAGEMENT, L.P.
October 10, 2012 - December 19, 2013
WINDSOR STREET CAPITAL, LP
January 1, 2011 - October 3, 2012
BUCKMAN, BUCKMAN & REID, 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
MONMOUTH CAPITAL MANAGEMENT LLC
CRD#: 290248 / SEC#: , 8-70025
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
