Philippe M. L'equilbec
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.
Philippe Marie Frederic L'equilbec was a registered financial professional .
Philippe is a previously registered financial professional and started their career in finance in 1992. Philippe had worked at 10 firms and has passed the Series 63, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2013 - July 16, 2013
BRICKELL GLOBAL MARKETS, INC.
May 9, 2012 - December 17, 2012
TORINO CAPITAL LLC
February 9, 2010 - September 28, 2011
RENCAP SECURITIES, INC.
June 1, 2009 - February 8, 2010
MESIROW FINANCIAL, INC.
June 23, 2006 - September 4, 2008
BBVA SECURITIES INC.
July 26, 2004 - June 6, 2006
COMMERZ MARKETS LLC
September 11, 2001 - July 19, 2004
FREIMARK BLAIR & COMPANY, INC.
June 5, 1998 - September 27, 2000
COWEN AND COMPANY
August 16, 1994 - July 28, 1998
UBS SECURITIES LLC
December 11, 1992 - September 7, 1994
KIDDER, PEABODY & CO. 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
Exams
Current Firm
BRICKELL GLOBAL MARKETS, INC.
CRD#: 104316 / SEC#: , 8-52776
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANESCO USA | SHAREHOLDER | |
| CUCCIA, GARY JOHN | FINOP/CONTACT PERSON FOR FORM BDW/CCO/EXECUTIVE REPRESEANTATIVE | 1386493 |
| ESCOTET, MARIA MERCEDES | DIRECTOR |
Disclosures
| Regulatory Event | 5 |
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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