Philip J. Davis
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 James Davis, who also goes by Philip John Davis, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1981. Philip had worked at 5 firms and has passed the Series 63, Series 7 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
January 11, 1991 - February 18, 1993
PRIVATE INVESTORS CARTEL, LTD.
April 11, 1985 - January 16, 1991
RICHFIELD SECURITIES, INC.
February 14, 1983 - April 30, 1985
WAINWRIGHT, AUSTIN, STONE & CO.
November 19, 1982 - January 18, 1983
KOBRIN SECURITIES, INC.
March 23, 1981 - November 4, 1982
BLINDER, ROBINSON & 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
Current Firm
PRIVATE INVESTORS CARTEL, LTD.
CRD#: 17690 / SEC#: , 8-35746
Contact information
Documents
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.
