Philip Edward Gillette

Current Employers

Cape Ann Financial

Manchester, MA • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2011-01-18

MA RA
APPROVED

Since 2011-01-18

Branch Locations

Manchester, MA • 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
Cape Ann Financial	Manchester	MA	08/1998	Present
Cape Ann Financial	Manchester	MA	08/1998	Present

08/1998 → Present

Cape Ann Financial

Manchester, MA
08/1998 → Present

Cape Ann Financial

Manchester, MA

Previous Registrations

2007-01-09 → 2012-06-08

Cantella & Co., Inc.

Manchester, MA
2010-01-22 → 2010-12-31

Cape Ann Financial
2006-01-12 → 2009-12-31

Cape Ann Financial

Manchester, MA

Other Businesses

1. CAPE ANN FINANCIAL, RIA - OWNER AND ADVISOR. HE PROVIDES ADVISORY SERVICES TO CLIENTS FOR A FEE. 2. FIXED ANNUITIES AGENT, VARIOUS COMPANIES, SAME ADDRESS. START DATE: 7/1998 50 HOURS/MONTH, 2 DURING TRADING HOURS 2. 3. CTA UNDER PHILIP E. GILLETTE NAME. 25 HOURS PER WEEK. SOME COMMENSURATE WITH RIA HOURS. SINCE MAY 2008.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-09-23
S63	Uniform Securities Agent State Law Examination	1982-05-10

S65 Uniform Investment Adviser Law Examination

1998-09-23
S63 Uniform Securities Agent State Law Examination

1982-05-10

Other Names

Philip Edward Gillette
Philip E Gillette

View on SEC IAPD