Philip J. Switzer
Professional summary
Philip Joseph Switzer is a registered financial professional currently at TOCQUEVILLE SECURITIES L.P. located in New York, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1998. Philip has worked at 2 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip Joseph Switzer's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 8, 2002 - Present
TOCQUEVILLE SECURITIES L.P.
Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019September 3, 1998 - May 14, 2002
LN SECURITIES, 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
(5/8/2002)
(5/8/2002)
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(5/8/2002)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/18/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
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