Philip R. Incorvia
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 R Incorvia, who also goes by Philip R Incorvaia, Philip Robert Incorvaia, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1980. Philip had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 1 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
December 23, 2020 - August 17, 2021
HENLEY & COMPANY WEALTH MANAGEMENT LLC
April 5, 2006 - August 17, 2021
HENLEY & COMPANY LLC
September 23, 1999 - April 19, 2006
PRIME CAPITAL SERVICES, INC.
January 4, 1999 - August 30, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 23, 1990 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
March 27, 1985 - April 3, 1985
BROADPOINT DESCAP
April 16, 1982 - March 27, 1990
TIMECAPITAL SECURITIES CORPORATION
April 14, 1982 - October 1, 1982
MONY SECURITIES CORPORATION
March 8, 1982 - October 1, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 5, 1980 - February 5, 1982
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
HENLEY & COMPANY WEALTH MANAGEMENT LLC
CRD#: 144884 / SEC#: 801-77007
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 4/18/1980
Registered Representative ExaminationCurrent Firm
HENLEY & COMPANY WEALTH MANAGEMENT LLC
CRD#: 144884 / SEC#: 801-77007
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 122 |
| AUM (Assets Under Management) | $ 96,072,449 |
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.
