Philip L. Dodge
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 Laighton Dodge was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1969. Philip had worked at 17 firms and has passed the Series 63, SIE, Series 87, Series 000, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2013 - April 30, 2015
NOBLE CAPITAL MARKETS, INC.
May 12, 2009 - July 21, 2011
TUOHY BROTHERS INVESTMENT RESEARCH, INC.
July 10, 2003 - February 6, 2009
STANFORD GROUP COMPANY
February 24, 2003 - August 5, 2003
WASSERMAN & ASSOCIATES, INC.
July 10, 2001 - February 11, 2003
RYAN BECK & CO.
February 22, 2001 - July 11, 2001
JOSEPHTHAL & CO., INC.
June 28, 1999 - February 26, 2001
RYAN BECK & CO.
March 3, 1997 - June 28, 1999
EARLYBIRDCAPITAL, INC.
February 4, 1997 - February 21, 1997
DETWILER FENTON & CO.
July 1, 1993 - February 6, 1997
EARLYBIRDCAPITAL, INC.
January 6, 1993 - April 20, 1994
JOSEPHTHAL & CO., INC.
December 1, 1992 - February 4, 1993
REICH & CO., INC.
April 14, 1992 - December 1, 1992
REICH & CO., INC.
February 13, 1991 - March 7, 1992
SBC WARBURG DILLON READ INC.
July 22, 1987 - February 14, 1991
NOMURA SECURITIES INTERNATIONAL, INC.
June 5, 1980 - July 11, 1987
PERSHING LLC
September 26, 1978 - January 31, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
December 1, 1972 - January 15, 1975
WHITE, WELD & CO., INCORPORATED
January 13, 1969 - November 18, 1972
BAKER, WEEKS & CO., 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
Series 000
Date: 7/31/1964
General Securities Principal ExaminationSeries 1
Date: 7/21/1964
Registered Representative ExaminationSeries 00
Date: 3/5/1973
General Securities Principal ExaminationCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
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.
