Philip M. Kruk
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 Michael Kruk, who also goes by Philip Kruk, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1987. Philip had worked at 10 firms and has passed the Series 63, Series 55 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
May 6, 2013 - December 3, 2013
NPB FINANCIAL GROUP, LLC
February 28, 2011 - June 7, 2011
WALL STREET ACCESS
July 2, 2002 - July 13, 2009
LABRANCHE FINANCIAL SERVICES, LLC
September 28, 1999 - June 11, 2002
KNIGHT CAPITAL AMERICAS, L.P.
July 20, 1998 - September 10, 1999
GLEACHER & COMPANY SECURITIES, INC.
June 9, 1992 - May 29, 1998
SBC WARBURG DILLON READ INC.
March 1, 1991 - April 3, 1992
DUNLEVY & CO., INCORPORATED
September 4, 1990 - November 15, 1990
WELLS FARGO CLEARING SERVICES, LLC
November 6, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
November 25, 1987 - October 14, 1989
J.P. MORGAN SECURITIES LLC
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 55
Date: 3/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
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.
