Philip A. Bess
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.
Philip A Bess, who also goes by Phil Bess, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2007. Philip had worked at 6 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 53, Series 10, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2015 - September 21, 2021
COPPER FINANCIAL
February 4, 2015 - September 21, 2021
COPPER FINANCIAL
July 16, 2013 - January 27, 2015
VSR FINANCIAL SERVICES, INC.
July 16, 2013 - January 27, 2015
VSR FINANCIAL SERVICES, INC.
April 7, 2009 - July 17, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 7, 2009 - July 17, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 2, 2008 - April 17, 2009
FIRST ALLIED SECURITIES, INC.
February 5, 2008 - March 31, 2009
FIRST ALLIED ADVISORY SERVICES, INC.
November 21, 2007 - June 2, 2008
FFP SECURITIES, INC.
Primary Firm SEC Registration
COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
Contact information
SEC notice filing (29 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITYAMERICA CUSO ONE LLC | SHAREHOLDER | |
| CHRISTIAN, TRACY | ELECTED MANAGER | 7678129 |
| DEHNER, MICHAEL JAMES | FINANCIAL OPERATIONS PRINCIPAL | 7334680 |
| GINTER, LISA ROSELLE | ELECTED MANAGER | 6482083 |
| HAGGERTY, MICHAEL PATRICK | PRESIDENT, CHIEF COMPLIANCE OFFICER | 3172920 |
| KROPP, STEPHEN DALE | ELECTED MANAGER | 7337607 |
| PATRICK, MICHAEL ALAN | ELECTED MANAGER | 6482087 |
| SARACINI, TIMOTHY RICE | ELECTED MANAGER | 1303842 |
Regulatory assets under management
| Total Number of Accounts | 4,082 |
| AUM (Assets Under Management) | $ 346,070,238 |
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.
