Phillip Horace Cardinale

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2005 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 07/2012 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → 11/2020
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Walnut Creek, CA
• 11/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2012-07-02 → 2020-11-12
  First Allied Advisory Services, Inc.
  Chesterfield, MO
  San Ramon, CA
  Walnut Creek, CA
  Walnut Creek, CA
• 2007-01-30 → 2012-07-02
  First Allied Securities, Inc.
  San Diego, CA
  San Ramon, CA
  Walnut Creek, CA

Other Businesses

1. PHILLIP CARDINALE. AGENT. INSURANCE. START DATE 1/1/1985. 2. Castlerock Insurance Group; Partner; Insurance; Start date 09/14/2015; 20 hours per month. 3. Rose McWalters Trust; Trustee; Fiduciary Position; Start date 08/01/2004; 4 hours per month. 4. NAME OF OTHER BUSINESS: ENHANCED FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-06-15

Other Names

• Ohillip Horace Cardinale