Philip E. Garrubbo
Professional summary
Philip Edwin Garrubbo, who also goes by Philip Garrubbo, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Iselin, New Jersey.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1990. Philip has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip Edwin Garrubbo's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 5, 2024 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 101 South Wood Ave. 4th Floor, Iselin, NJ, 08830April 6, 2009 - November 14, 2023
MIZUHO SECURITIES USA LLC
October 1, 2008 - April 16, 2009
J.P. MORGAN SECURITIES LLC
May 15, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
March 22, 2002 - May 21, 2008
J.P. MORGAN SECURITIES LLC
September 20, 1990 - January 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/16/2024)
(2/6/2024)
(2/16/2024)
(2/16/2024)
(4/8/2024)
(4/22/2024)
(2/7/2024)
(2/16/2024)
(2/23/2024)
(2/6/2024)
(2/5/2024)
(2/5/2024)
(2/16/2024)
(2/6/2024)
(2/7/2024)
(2/16/2024)
Exams
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| AIZAWA, GAKU | MANAGING DIRECTOR / MEMBER OF THE BOARD OF DIRECTORS | 1763967 |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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