Philip Catledge has been Member & Chief Compliance Officer of CMC Financial Group since February 2009, is a control person of the firm and directly owns between 50% and 75% of it.
CMC Financial Group, LLC is an Atlanta, GA firm with $119M under management, 230 clients and 3 advisers across 2 offices, as of its March 2026 filing.
Philip Catledge’s longest registration was 9 years at Wells Fargo Advisors Financial Network, LLC (2009–2018). Before joining CMC Financial Group in 2018, Philip Catledge was registered through Wells Fargo Advisors Financial Network, LLC and UBS Financial Services Inc.
- CMC Financial Group, LLCCurrent– present · 8 yearsAtlanta, GA · Adviser representative · Firm CRD 292413
- Wells Fargo Advisors Financial Network, LLC– · 9 yearsAtlanta, GA · Adviser representative · Firm CRD 11025
- UBS Financial Services Inc.– · 8 yearsAtlanta, GA · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Philip Catledge is registered as an investment adviser representative in Georgia, since May 2018.
- GeorgiaSince 4 May 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 11 October 1991 |
| Series 3 | National Commodity Futures Examination | 23 June 1986 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 June 1986 |
| Series 7 | General Securities Representative Examination | 17 May 1986 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Philip Oraien Catledge
- CRD
- 1493580
- Firm
- CMC Financial Group · CRD 292413
- Role
- Member & Chief Compliance Officer
- Office
- 7000 CENTRAL PARKWAY, SUITE 225, Atlanta, GA 30328
- Registration
- Investment adviser registration
- In the industry since
- May 1986
- Disciplinary history
- Not yet shown here · SEC record
Where does Philip Catledge work?
Philip Catledge has been Member & Chief Compliance Officer of CMC Financial Group, LLC since February 2009, and is a control person of the firm.
Is Philip Catledge a financial advisor?
Yes. Philip Catledge has a current investment-adviser registration in Georgia, through CMC Financial Group since May 2018.
How many years of experience does Philip Catledge have?
Philip Catledge has 40 years in the financial industry, since May 1986, across 3 adviser firms.
What exams has Philip Catledge passed?
Philip Catledge has passed 4 licensing exams: the Series 7, Series 63, Series 3 and Series 65. The earliest, the Series 7, was passed in May 1986. FINRA credited Philip Catledge with the SIE, which began in October 2018.
Where did Philip Catledge work before CMC Financial Group?
Before CMC Financial Group, Philip Catledge was registered through UBS Financial Services Inc., August 2000 to March 2009.
Where is Philip Catledge based?
Philip Catledge’s registered office is in Atlanta, GA.
Is Philip Catledge registered with FINRA?
No. Philip Catledge has no current broker registration.
How can I verify Philip Catledge’s record?
Search CRD 1493580 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Philip Catledge’s full registration record.
