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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Michael Caso is a financial advisor with over 39 years of experience in the industry. He has a broad range of experience and qualifications, including a Series 65 license, Series 63 license and a Series 7 license. Philip is also a Registered Options Principal and holds a Series 4 license. He currently works for Merrill Lynch, Pierce, Fenner & Smith Inc., and is registered with both FINRA and the State of Florida. Philip also served as an industry arbitrator for the Financial Industry Regulatory Authority (FINRA). Previously, Philip worked at Rosenkrantz Lyon & Ross Incorporated, Greentree Securities Corp., Brooks Weinger Robbins & Leeds Inc., and Brooks, Hamburger, Satnick, Inc. He provides a range of services including portfolio management, financial planning, and educational seminars.
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
08/18/2005 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (AVENTURA FL)
NY
11/28/1988 - 10/07/1989
ROSENKRANTZ LYON & ROSS INCORPORATED (NEW YORK NY)
NA
01/04/1988 - 12/05/1988
GREENTREE SECURITIES CORP.
NA
01/23/1984 - 02/03/1988
BROOKS WEINGER ROBBINS & LEEDS INC.
NA
08/23/1983 - 01/27/1984
BROOKS, HAMBURGER, SATNICK, INC.
IA
Issued 09/19/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/28/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/28/1987
Series 4 - Registered Options Principal Examination
BC
Issued 11/04/1986
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/1992
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1983
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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