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PL

Philip Y. Leung

MONTROSE SECURITIES INTERNATIONAL
Sausalito, CA 94965
Some features on this profile are disabled
CRD#: 1121435
PL

Professional summary

Philip Yew Leung is a registered financial advisor currently at MONTROSE SECURITIES INTERNATIONAL located in Sausalito, California.

Philip is registered as a RR (Registered Representative) and started their career in finance in 1983. Philip has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Yew Leung's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 20, 1994 - Present

MONTROSE SECURITIES INTERNATIONAL

Office #1: 3 Harbor Drive Suite 117, Sausalito, CA 94965Office #2: 1 Harbor Drive, Suite 300, Sausalito, CA 94965
BD
CRD#: 35603
Sausalito, CA
Past

March 3, 2004 - April 28, 2011

MONTROSE ASSET MANAGEMENT, LLC

RIA
CRD#: 130217
SAN FRANCISCO, CA
Past

August 28, 1985 - April 20, 1987

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
Past

May 25, 1983 - July 24, 1985

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/19/1994)
RR
Ohio
(11/17/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 28
Date: 2/10/2003
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/17/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MONTROSE SECURITIES INTERNATIONAL
BELGRAVIA SECURITIES | MONTROSE SECURITIES INTERNATIONAL

CRD#: 35603 / SEC#: , 8-46821

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
1 Harbor Drive, Suite 300, Sausalito, CA 94965
Mailing Address
1 Harbor Drive, Suite 300, Sausalito, CA 94965
Phone number
(415) 888-3854
Established
California since 11/22/1993
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LEUNG, PHILIP YEWPRESIDENT - FINOP- CHIEF COMPLIANCE OFFICER1121435

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MONTROSE SECURITIES INTERNATIONAL

CRD#: 35603Sausalito, CA 94965

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