Phillip C. Goldstick
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.
Phillip Charles Goldstick, who also goes by Phillip C Goldstick, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1976. Phillip had worked at 5 firms and has passed the Series 63, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2013 - October 4, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 5, 2012 - October 4, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 5, 2004 - December 12, 2014
G EQUITY INVESTMENT ADVISORS, LTD.
September 3, 1976 - October 2, 2012
H2C SECURITIES INC.
May 25, 1976 - September 3, 1976
HAMILTON INVESTMENTS, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 40
Date: 9/15/1976
Registered Principal ExaminationF04
Date: 9/1/1976
Financial Principal ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
