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Philip T. Cothern

HPS SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 1421302
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Professional summary

Philip Trent Cothern MR., who also goes by Philip Trent Cothern, is a registered financial professional currently at HPS SECURITIES, LLC located in New York, New York.

Philip is registered as a RR (Registered Representative) and started their career in finance in 1985. Philip has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 5, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Philip Trent Cothern

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 Trent Cothern MR.'s CRS (Customer Relationship Summary).
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

May 5, 2023 - Present

HPS SECURITIES, LLC

Office #1: 40 West 57th Street 33rd Floor, New York, NY 10019
BD
CRD#: 319197
New York, NY
Past

January 4, 2010 - January 28, 2011

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHICAGO, IL
Past

January 25, 2008 - January 4, 2010

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

January 27, 2004 - January 4, 2008

EUROPEAN CREDIT MANAGEMENT INC.

BD
CRD#: 128127
CHICAGO, IL
Past

November 5, 2002 - February 26, 2004

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

April 2, 1996 - May 16, 2002

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

October 22, 1985 - March 15, 1996

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
Alabama
(7/24/2023)
RR
Alaska
(7/24/2023)
RR
Arizona
(7/28/2023)
RR
Arkansas
(7/24/2023)
RR
California
(7/24/2023)
RR
Colorado
(6/2/2023)
RR
Connecticut
(6/12/2023)
RR
Delaware
(7/24/2023)
RR
District of Columbia
(6/16/2023)
RR
Florida
(7/28/2023)
RR
Georgia
(7/24/2023)
RR
Hawaii
(7/24/2023)
RR
Idaho
(6/5/2023)
RR
Illinois
(7/24/2023)
RR
Indiana
(7/24/2023)
RR
Iowa
(7/24/2023)
RR
Kansas
(7/24/2023)
RR
Kentucky
(7/24/2023)
RR
Louisiana
(6/2/2023)
RR
Maine
(7/24/2023)
RR
Maryland
(6/13/2023)
RR
Massachusetts
(7/24/2023)
RR
Michigan
(7/24/2023)
RR
Minnesota
(11/14/2023)
RR
Mississippi
(7/24/2023)
RR
Missouri
(7/24/2023)
RR
Montana
(7/24/2023)
RR
Nebraska
(7/24/2023)
RR
Nevada
(7/24/2023)
RR
New Hampshire
(7/24/2023)
RR
New Jersey
(7/24/2023)
RR
New Mexico
(7/24/2023)
RR
New York
(7/24/2023)
RR
North Carolina
(7/25/2023)
RR
North Dakota
(7/24/2023)
RR
Ohio
(7/25/2023)
RR
Oklahoma
(7/24/2023)
RR
Oregon
(7/24/2023)
RR
Pennsylvania
(7/24/2023)
RR
Puerto Rico
(1/23/2024)
RR
Rhode Island
(7/24/2023)
RR
South Carolina
(7/24/2023)
RR
South Dakota
(7/24/2023)
RR
Tennessee
(7/24/2023)
RR
Texas
(7/24/2023)
RR
Utah
(7/24/2023)
RR
Vermont
(7/24/2023)
RR
Virgin Islands
(1/23/2024)
RR
Virginia
(7/24/2023)
RR
Washington
(7/24/2023)
RR
West Virginia
(7/24/2023)
RR
Wisconsin
(7/24/2023)
RR
Wyoming
(7/24/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/5/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/13/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/27/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 2/4/1986
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HPS SECURITIES, LLC
HPS SECURITIES, LLC

CRD#: 319197 / SEC#: , 8-70910

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 West 57th Street 33rd Floor, New York, NY 10019
Mailing Address
40 West 57th Street 33rd Floor, New York, NY 10019
Phone number
(212) 287-6767
Established
Delaware since 02/07/2022
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HPS GROUP HOLDINGS II, LLCSOLE MEMBER
CHRISTMAS, JOHN EDWARDPRESIDENT2772276
STAMOVA, ILINA SFINANCIAL AND OPERATIONS PRINCIPAL5500851
VIRGILIO, JOSEPH JAMESCHIEF COMPLIANCE OFFICER2041281

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

HPS SECURITIES, LLC

CRD#: 319197New York, NY 10019

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