Philip M. Stoker
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 Mark Stoker was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1980. Philip had worked at 6 firms and has passed the Series 63, 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
July 7, 1997 - November 13, 2013
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
April 13, 1987 - June 25, 1991
SENTRA SECURITIES CORPORATION
July 2, 1985 - April 20, 1987
FPI SECURITIES, INC.
August 31, 1982 - July 15, 1985
BOARDWALK CAPITAL CORPORATION
January 20, 1982 - September 13, 1982
LPL FINANCIAL LLC
April 16, 1980 - November 20, 1983
WADDELL & REED
Primary Firm SEC Registration
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
CRD#: 111320 / SEC#: 801-54265
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 1
Date: 4/5/1980
Registered Representative ExaminationCurrent Firm
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
CRD#: 111320 / SEC#: 801-54265
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,732 |
| AUM (Assets Under Management) | $ 3,100,176,318 |
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.
