Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Fazio is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in FORT LAUDERDALE, FL. Philip has been working in the financial services industry since 2003. Philip has passed the SIE, Series 31, and Series 7 exams, as well as the Uniform Combined State Law Examination. Philip has also been registered with a number of other firms including Morgan Stanley Smith Barney, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW INC., CITIGROUP GLOBAL MARKETS INC., FIRST CITIZENS INVESTOR SERVICES, INC., KOVACK SECURITIES INC., and SUNTRUST SECURITIES, INC. Philip currently holds registrations in Alabama, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, South Carolina, South Dakota, Tennessee, Texas, Vermont, Virginia, and Washington. Philip also holds investment advisor registrations in Florida and Texas.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
07/19/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FORT LAUDERDALE FL)
FL
06/01/2009 - 08/01/2012
MORGAN STANLEY SMITH BARNEY (FT. LAUDERDALE FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FT. LAUDERDALE FL)
FL
02/16/2007 - 04/02/2007
MORGAN STANLEY DW INC. (FT. LAUDERDALE FL)
FL
03/10/2004 - 02/26/2007
CITIGROUP GLOBAL MARKETS INC. (FT. LAUDERDALE FL)
NC
08/18/2003 - 03/17/2004
FIRST CITIZENS INVESTOR SERVICES, INC. (RALEIGH NC)
FL
08/07/2003 - 08/08/2003
KOVACK SECURITIES INC. (FT. LAUDERDALE FL)
GA
11/08/2000 - 05/22/2001
SUNTRUST SECURITIES, INC. (ATLANTA GA)
BOTH
Issued 10/14/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 11/07/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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