Philip Saponaro, financial advisor Wilmington DE
58 score

Philip Saponaro

CRD Number: 1453759
Current Firm: Next Financial Group, Inc.

Philip Saponaro (CRD# 1453759) is an Investment Advisor Representative working at Next Financial Group, Inc. in Wilmington, DE and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Next Financial Group Inc. Wilmington, DE Jun 2012 - Current 4
Metlife Securities Inc. Newark, DE Sep 2009 - Jun 2012 2
Linsco Private Ledger Wilmington, DE Nov 2006 - Sep 2009 2
Wachovia Securities, Llc-isg Wilmington, DE May 2003 - Nov 2006 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1986
S65 NASAA Investment Advisors Law Examination Dec 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Philip J. Saponaro
Phone Number: 713-789-7122
Registered State(s):
  • DE
  • FL
By the Numbers
  • Total Assets Under Management
    1,564
    MILLIONS
  • Total Number of Accounts
    8,116
    ACCOUNTS
  • Average Account Value
    $192,726
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
58

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