Philip R. Dame
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 Ray Dame 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 63, 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
July 31, 2009 - December 31, 2015
CANTELLA & CO., INC.
July 31, 2009 - December 31, 2015
CANTELLA & CO., INC.
January 2, 2009 - August 3, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 10, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - August 3, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 27, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 16, 1993 - June 27, 1997
FFP SECURITIES, INC.
January 2, 1987 - July 16, 1993
MML INVESTORS SERVICES, LLC
December 10, 1985 - January 5, 1987
EQUITY SERVICES, INC.
August 26, 1983 - December 13, 1985
CARDELL & ASSOCIATES, INCORPORATED
October 21, 1981 - September 2, 1983
EQUITY SERVICES, INC.
October 20, 1980 - September 16, 1983
EQUITABLE ADVISORS, LLC
August 15, 1980 - October 12, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 8/9/1980
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
