Phillip P. D'Ambrisi Email & Phone Number

Dedicated to coaching clients maximize their goals to Build Wealth, Enjoy Life and Leave A Legacy. Develop and implement Wealth Management strategies based on cash flows, available resources, risk tolerance and time horizon needs in the most tax efficient manner, if possible.Registered Representative and Financial Advisor of Park Avenue Securities LLC (PAS). Securities products and advisory services offered through PAS, member FINRA, SIPC. This firm is an agency of The Guardian Life… Show more Dedicated to coaching clients maximize their goals to Build Wealth, Enjoy Life and Leave A Legacy. Develop and implement Wealth Management strategies based on cash flows, available resources, risk tolerance and time horizon needs in the most tax efficient manner, if possible.Registered Representative and Financial Advisor of Park Avenue Securities LLC (PAS). Securities products and advisory services offered through PAS, member FINRA, SIPC. This firm is an agency of The Guardian Life Insurance Company of America®(Guardian), New York, NY. PAS is a wholly-owned subsidiary of Guardian. C & A Financial Group is not an affiliate or subsidiary of PAS or Guardian. This material is intended for general use. By providing this content The Guardian Life Insurance Company of America, Park Avenue Securities LLC, affiliates and/or subsidiaries, and your financial representative are not undertaking to provide advice or make a recommendation for a specific individual or situation, or to otherwise act in a fiduciary capacity. Guardian, its subsidiaries, agents, and employees do not provide tax, legal, or accounting advice. Consult your tax, legal, or accounting professional regarding your individual situation. Links to external sites are provided for your convenience in locating related information and services. Guardian, its subsidiaries, agents, and employees expressly disclaim any responsibility for and do not maintain, control, recommend, or endorse third-party sites, organizations, products, or services, and make no representation as to the completeness, suitability, or quality thereof. Show less

Edison, Nj

Dedicated to helping clients maximize their goals to gain financial security now and in the future by providing protection strategies to individuals and businesses owners, so their families and assets are protected.

Teaneck, Nj

Collaborated in the initial strategic design and implementation of the Registered Investment Advisor (RIA), provided business management, oversight and leadership for ongoing growth.

Managed the overall direction of the independent broker-dealer with $52MM in commission revenue, 1000 registered representatives and 45 home office employees.Managed all aspects of Corporate Registered Investment Advisor (RIA) with $9 billion of assets under management, including third party asset manager relationships.Negotiated with third party providers and vendors to reduce overall cost by $250,000.00 and increased revenue income by $300,000.00. Collaborated closely with 900… Show more Managed the overall direction of the independent broker-dealer with $52MM in commission revenue, 1000 registered representatives and 45 home office employees.Managed all aspects of Corporate Registered Investment Advisor (RIA) with $9 billion of assets under management, including third party asset manager relationships.Negotiated with third party providers and vendors to reduce overall cost by $250,000.00 and increased revenue income by $300,000.00. Collaborated closely with 900 field associates and 30 field office leaders to enhance relationship with broker/ dealer. Provided training and support for the Penn Mutual distribution network to further the business model in offering investment solutions and products to clients and enhance the field Compliance culture and supervision.Collaborated with Life Products Operations management for effective enterprise risk management. Managed ten compliance associates responsible for Supervision of Registered Representatives. Worked closely with Corporate Compliance associates to develop and implement compliance and monitoring program to reduce overall risk to the firm. Show less

Self employed consultant to the Securities and Insurance industry.

Management responsibilities include Operations, Technology, Human Resources, Accounting, Insurance, Advisory Services, Mutual Funds and Compliance. Developed and implemented process improvements in all areas of responsibility.Responsible for developing overall compliance structure to maintain consistent adherence to FINRA and SEC regulations.Collaborated with third party vendors to leverage best practices and maximize contracts.

Responsible for the overall direction of the independent broker-dealer with $50MM in commission revenue and 450 registered representatives. Management responsibilities include Advisory Services, Insurance, Mutual Funds, Alternative Investments, Operations and Technology departments.Implemented process improvements in the operations and service areas including reorganization to separate the processing and service personnel.Directed the development and implementation of technology… Show more Responsible for the overall direction of the independent broker-dealer with $50MM in commission revenue and 450 registered representatives. Management responsibilities include Advisory Services, Insurance, Mutual Funds, Alternative Investments, Operations and Technology departments.Implemented process improvements in the operations and service areas including reorganization to separate the processing and service personnel.Directed the development and implementation of technology projects including a books-and-records system, website redesign and telephone infrastructure saving the company in excess of $350,000.00.Developed and implemented RIA strategy to position the company for dramatic growth, assets under management grew to 450MM. Show less

Managed the overall direction of the independent broker-dealer with $60MM in commission revenue, 1200 registered representatives and 60 home office employees.Worked closely with peers in senior management of the parent company to establish a roadmap with metrics to improve the company’s effectiveness, efficiency and profitability.Directed a multi-discipline project team of 20 individuals comprised of business subject matter experts, project management and process analysts to improve… Show more Managed the overall direction of the independent broker-dealer with $60MM in commission revenue, 1200 registered representatives and 60 home office employees.Worked closely with peers in senior management of the parent company to establish a roadmap with metrics to improve the company’s effectiveness, efficiency and profitability.Directed a multi-discipline project team of 20 individuals comprised of business subject matter experts, project management and process analysts to improve all aspects of the broker-dealer and life and annuity new business processingCollaborated with Field Leadership and Field Agents (Registered Representatives) to gain awareness of registered products to drive growth Show less

Direct oversight of all functions of the Broker-Dealer. This includes operations, compliance, legal, financial and regulatory reporting, strategic planning, compensation, broker-dealer marketing, technology, licensing, and agent training.Established programs and develop products to support approximately 2000 Financial Professionals with sales in excess of $1 billion and gross dealer concessions of $75MM.

Overall management responsibility for broker/dealer subsidiary of The MONY Group. Managed initial startup of the broker/dealer and ongoing management of the trading, cashiering, application processing, commission processing, service desk, and accounting departments, in addition to development and implementation of our in-house computer system.

Managed and directed all functions of broker/dealer subsidiaries, including MONY Securities Corporation and Trusted Advisors Securities Corporation. Responsibilities also included direct oversight of MONY Brokerage Inc, Insurance Brokerage subsidiary.Managed budget in excess of $25MM and staff of approximately 125 people.Consistently increased revenue and managed expenses to drive profitability by 20%.Successfully integrated the Broker-Dealer subsidiary into MONY Group to leverage… Show more Managed and directed all functions of broker/dealer subsidiaries, including MONY Securities Corporation and Trusted Advisors Securities Corporation. Responsibilities also included direct oversight of MONY Brokerage Inc, Insurance Brokerage subsidiary.Managed budget in excess of $25MM and staff of approximately 125 people.Consistently increased revenue and managed expenses to drive profitability by 20%.Successfully integrated the Broker-Dealer subsidiary into MONY Group to leverage best practices, including field and employee training, back office operations and sales support.Proven ability to effect necessary change and drive results through a complex corporate structure. Show less

Established support areas for diverse securities products and mutual funds. Ensured operational integrity that encompasses servicing, control and quality for existing products, as well as new products and businesses developed within the department or its subsidiaries.Analyzed potential new products and business ventures from an operational and control perspective, including integration to MONY’s core business.Assisted in developing and implementing new marketing strategies for existing… Show more Established support areas for diverse securities products and mutual funds. Ensured operational integrity that encompasses servicing, control and quality for existing products, as well as new products and businesses developed within the department or its subsidiaries.Analyzed potential new products and business ventures from an operational and control perspective, including integration to MONY’s core business.Assisted in developing and implementing new marketing strategies for existing products and marketing routines for new products. Show less

Managed 42 employees supporting the daily operation of IRA/KEOGH, money market accounts, capital “T”, and mutual fund departments.Developed and implemented operational procedures to support an increase in mutual fund trades from 20 to 300 daily.

Bachelor Of Science Degree, Business Administration, Accounting, Political Science

High School, College Prep

Activities and Societies: Captain of the Soccer Team

Education record

Securities Industry Association (nowSIFMA) 3rd Year Graduate