Phillip John Gussman

Employer firm

Bulldog Asset Management, Inc. CRD 133036

$67.0M regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Bulldog Asset Management, Inc.

Huntersville, NC • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2009-08-04

NC RA
APPROVED

Since 2009-08-04

Branch Locations

Huntersville, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Self Employed	Charlotte	NC	06/2006	Present

06/2006 → Present

Self Employed

Charlotte, NC

Previous Registrations

2009-02-23 → 2009-03-26

Davidson Capital

Davidson, NC

Other Businesses

GUSSMAN CONSULTING ASSISTS NON-PROFITS WITH FUNDRAISING, MESSAGING AND WEB DEVELOPMENT. MR. GUSSMAN SPENDS THE MAJORITY OF HIS TIME WORKING WITH NON-PROFITS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-08-21
S63	Uniform Securities Agent State Law Examination	2005-07-11

S65 Uniform Investment Adviser Law Examination

2008-08-21
S63 Uniform Securities Agent State Law Examination

2005-07-11

View on SEC IAPD