Philip H. Hummel
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.
Philip Henry Hummel, who also goes by Phil Hummel, Philip Hummel, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1984. Philip had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2018 - June 19, 2024
YOUNG AMERICA CAPITAL, LLC
April 17, 2014 - September 8, 2015
J.P. TURNER & COMPANY, L.L.C.
April 30, 2010 - March 14, 2014
WORLD EQUITY GROUP, INC.
May 2, 2008 - September 4, 2009
REGAL SECURITIES, INC.
November 4, 2002 - May 25, 2007
NATIONAL SECURITIES CORPORATION
June 4, 1990 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
May 22, 1990 - September 26, 2002
FIRST INSTITUTIONAL SECURITIES, L.L.C.
February 9, 1990 - June 25, 1990
G. K. SCOTT & CO., INC.
June 2, 1989 - February 21, 1990
ANDREW ALEN SECURITIES, INC.
June 27, 1988 - June 12, 1989
PAULSON INVESTMENT COMPANY LLC
February 5, 1987 - July 9, 1988
J. T. MORAN & CO., INC.
July 25, 1986 - February 9, 1987
HOMESTEAD SECURITIES, INC.
August 31, 1984 - July 25, 1986
GREENTREE SECURITIES CORP.
February 24, 1984 - May 7, 1984
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
YOUNG AMERICA CAPITAL, LLC
CRD#: 150443 / SEC#: , 8-68260
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
