Michael G. Philipp
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Godwin Philipp was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 4 firms and has passed the Series 63, Series 5, Series 15, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2010 - December 31, 2013
PACIFIC CENTURY SECURITIES, LLC
July 21, 1995 - May 20, 2002
DEUTSCHE BANK SECURITIES INC.
May 7, 1991 - June 13, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 1982 - May 16, 1990
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/17/1985
Interest Rate Options ExaminationSeries 15
Date: 11/28/1984
Foreign Currency Options ExaminationSeries 8
Date: 1/25/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PACIFIC CENTURY SECURITIES, LLC
CRD#: 131607 / SEC#: , 8-66487
Contact information
FINRA licenses (14 States and Territories)
Red Flags
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