Philip J. Wing
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 James William Wing, who also goes by Philip James Wing, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1985. Philip had worked at 10 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2010 - April 23, 2013
CANTOR FITZGERALD & CO.
February 20, 2008 - May 11, 2009
WELLS FARGO SECURITIES, LLC
May 13, 2004 - March 26, 2007
PIPER SANDLER & CO.
August 12, 2002 - December 17, 2002
PIPER SANDLER & CO.
June 14, 2000 - August 29, 2000
B. RILEY SECURITIES, INC.
December 24, 1996 - March 16, 1999
CITIGROUP GLOBAL MARKETS INC.
June 11, 1993 - December 11, 1996
JPMSI
February 18, 1992 - May 3, 1993
LEHMAN BROTHERS INC.
April 10, 1990 - January 28, 1992
WESTMINSTER RESEARCH ASSOCIATES LLC
February 18, 1987 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
October 10, 1985 - March 10, 1987
MORGAN STANLEY DW 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
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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.
