Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Florio has been in the securities industry since 1997 and is currently a registered representative with Richard James & Associates, Inc. located in Syosset, NY. Philip has a diverse background in the industry, having worked with several firms including Legend Securities, Inc., Rockwell Global Capital LLC and Clark Dodge & Co., Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
01/15/2019 - Present
Richard James & Associates, Inc. (SYOSSET NY)
NY
11/15/2017 - 07/13/2018
RICHARD JAMES & ASSOCIATES, INC. (Syosett NY)
NY
06/27/2017 - 11/24/2017
HD VEST INVESTMENT SERVICES (Commack NY)
NY
03/30/2015 - 12/07/2016
LEGEND SECURITIES, INC. (Miller Place NY)
CT
01/11/2010 - 03/05/2015
ROCKWELL GLOBAL CAPITAL LLC (DANBURY CT)
NY
02/12/2008 - 11/16/2009
CLARK DODGE & CO., INC. (GARDEN CITY NY)
NY
12/02/2005 - 02/05/2008
J.P. TURNER & COMPANY, L.L.C. (WESTBURY NY)
TX
11/09/2004 - 11/22/2005
BRUNDYN SECURITIES INC. (ARLINGTON TX)
NY
05/05/2004 - 08/02/2004
HARRISON SECURITIES, INC. (PORT WASHINGTON NY)
NY
05/13/2004 - 06/28/2004
S.W. BACH & COMPANY (PORT WASHINGTON NY)
NY
08/12/2002 - 04/30/2004
HARRISON SECURITIES, INC. (PORT WASHINGTON NY)
NY
01/02/2002 - 09/03/2002
FAHNESTOCK & CO. INC. (NEW YORK NY)
NY
02/22/2001 - 01/02/2002
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NY
12/15/1998 - 12/22/2000
MORGAN, TAYLOR & ASSOCIATES, INC. (MINEOLA NY)
NA
11/11/1998 - 12/03/1998
MORGAN, TAYLOR & ASSOCIATES, INC.
FL
06/10/1997 - 10/21/1998
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
NY
01/03/1996 - 07/30/1997
H G I (JERICHO NY)
NY
02/02/1994 - 12/01/1994
THE HARRIMAN GROUP, INC. (JERICHO NY)
BC
Issued 02/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/22/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/22/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/12/1998
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/16/1997
Series 4 - Registered Options Principal Examination
BC
Issued 02/26/1997
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/29/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 07/13/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/01/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Philip Florio is the right advisor for you? Invested Better is here to help.
