Philip I. Dauber
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 I Dauber, who also goes by Philip Ira Dauber, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1986. Philip had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3 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
September 15, 2025 - June 10, 2026
BGC FINANCIAL, L.P.
August 31, 2022 - July 15, 2024
ELEVATION, LLC
January 10, 2020 - September 1, 2022
JANNEY MONTGOMERY SCOTT LLC
February 27, 2019 - December 23, 2019
OLIVETREE FINANCIAL, LLC
January 4, 2016 - October 16, 2017
PIPER SANDLER & CO.
October 25, 2011 - December 4, 2015
BTIG, LLC
October 1, 2008 - September 16, 2011
J.P. MORGAN SECURITIES LLC
June 2, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
December 10, 2004 - June 2, 2008
J.P. MORGAN SECURITIES LLC
October 2, 1987 - November 29, 2004
LEHMAN BROTHERS INC.
October 3, 1986 - October 29, 1987
LIPPER CONVERTIBLES, L.P.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
BGC FINANCIAL, L.P.
CRD#: 19801 / SEC#: , 8-39012
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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