Philip Mcmorrow
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 Mcmorrow, who also goes by Philip Charles Mcmorrow, was a registered financial advisor .
Philip is a previously registered financial advisor and started their career in finance in 1977. Philip had worked at 7 firms and has passed the Series 63, Series 8, Series 14, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2002 - June 30, 2009
CANTELLA & CO., INC.
April 19, 2001 - June 30, 2009
CANTELLA & CO., INC.
February 26, 1993 - April 9, 2001
MOORS & CABOT, INC.
February 19, 1992 - January 29, 1993
H.J. MEYERS & CO., INC.
July 11, 1988 - January 15, 1992
CANTELLA & CO., INC.
February 4, 1986 - October 24, 1986
BOSTON INSTITUTIONAL SERVICES INCORPORATED
November 5, 1982 - February 11, 1986
W.A. ROGERS SECURITIES, INC.
March 11, 1980 - December 2, 1982
BOSTON INSTITUTIONAL SERVICES INCORPORATED
August 8, 1979 - November 16, 1979
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
March 21, 1977 - June 21, 1979
STOCKCROSS FINANCIAL SERVICES, 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 8
Date: 9/10/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
