PC
PC
Phillip Cardinale
41 Years of Experience
Walnut Creek, CA
4 DisclosuresBrokerSells Insurance
Phillip Cardinale is a registered investment advisor, based in Walnut Creek, CA, with 41 years of industry experience.
Location
1777 Botelho Dr Ste 275, Walnut Creek, CA, 94596
Get directionsHistory
Regulatory History (4)
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Judgment / Lien
October 2025Customer Dispute
April 2010Settled
Customer Dispute
March 2003Denied
Employment Separation After Allegations
December 1993Other Business ActivitiesSells Insurance
Phillip is an insurance agent since 1985 and a partner at Castlerock Insurance Group since 2015, dedicating about 10-20% of his time to the latter. He is also a trustee for the Rose McWalters Trust, spending minimal time on it, and a financial professional at Enhanced Financial Group, spending full-time hours there.
Employment History
Current Registrations
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 8 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 6 mos
Previous Registrations
First Allied Advisory Services, INC.
July 2012 - November 2020 · 8 yrs 4 mos
First Allied Securities, INC.
January 2007 - July 2012 · 5 yrs 6 mos
First Allied Securities, INC.Broker
June 2005 - September 2022 · 17 yrs 3 mos
Round Hill Securities, INC.Broker
December 1993 - June 2005 · 11 yrs 6 mos
Vanguard CapitalBroker
August 1992 - December 1993 · 1 yr 4 mos
Travelers Equities Sales, INC.Broker
July 1984 - August 1992 · 8 yrs 1 mo
State Registrations6 states
AZCAIDNVORWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.