• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Philip Michael Napolitano III
PHILIP MICHAEL NAPOLITANO III, Philip M Napolitano III, Philip Michael Napolitano, Philip Napolitano III, Philip Napolitano
CRD#: 4269360
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 109 SYCAMORE STREET
GLASTONBURY, CT 06033
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2004 (<1 year)2 FIRMS2013 - 2014 (<1 year)2 FIRMS2018 - 2018 (<1 year)2 FIRMS2019 - 2023 (4 years)2 FIRMS2023 - Present (1 year)BQUASAR DISTRIBUTORS, LLC (CRD# 103848)2011 - 2012 (<1 year)BPRUDENTIAL ANNUITIES DISTRIBUT... (CRD# 21570)2004 - 2011 (7 years)BPEOPLE'S SECURITIES, INC. (CRD# 13704)2001 - 2004 (2 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)2000 - 2001 (1 year)IA3D ASSET MANAGEMENT, INC. (CRD# 139595)2014 - 2014 (<1 year)IAAST INVESTMENT SERVICES, INC. (CRD# 108897)2006 - 2011 (5 years)
License(s)

State Registrations

B
Connecticut 7/18/2023

B
Massachusetts 7/18/2023

IA
Connecticut 7/18/2023

B
Virginia 10/20/2023

B
Florida 7/18/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
109 SYCAMORE STREET, GLASTONBURY, CT 06033
Registered with this firm since 7/18/2023

B
LPL FINANCIAL LLC (CRD#:6413)
109 SYCAMORE STREET, GLASTONBURY, CT 06033
Registered with this firm since 7/18/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/07/2019 - 07/05/2023 KEY INVESTMENT SERVICES LLC (CRD#:136300) East Hartford, CT
B
01/07/2019 - 07/05/2023 KEY INVESTMENT SERVICES LLC (CRD#:136300) East Hartford, CT
IA
10/05/2018 - 11/28/2018 EDWARD JONES (CRD#:250) Waterbury, CT
B
09/13/2018 - 11/28/2018 EDWARD JONES (CRD#:250) ST. LOUIS, MO
IA
02/04/2014 - 11/04/2014 3D ASSET MANAGEMENT, INC. (CRD#:139595) EAST HARTFORD, CT
IA
03/28/2013 - 01/06/2014 SANTANDER SECURITIES (CRD#:41791) WATERBURY, CT
B
03/28/2013 - 01/06/2014 SANTANDER SECURITIES LLC (CRD#:41791) WATERBURY, CT
B
12/01/2011 - 03/05/2012 QUASAR DISTRIBUTORS, LLC (CRD#:103848) PORTLAND, ME
IA
03/20/2006 - 11/18/2011 AST INVESTMENT SERVICES, INC. (CRD#:108897) SHELTON, CT
B
08/13/2004 - 11/18/2011 PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (CRD#:21570) SHELTON, CT
IA
05/07/2004 - 08/13/2004 QUICK & REILLY, INC. (CRD#:11217) OLD LYME, CT
B
05/07/2004 - 08/13/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
12/06/2001 - 03/02/2004 PEOPLE'S SECURITIES, INC. (CRD#:13704) BRIDGEPORT, CT
B
10/17/2000 - 11/05/2001 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.