Robertus J. Philippa
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.
Robertus Jacques Philippa, who also goes by Rob Jaques Philippa, Robertus Jaques Philippa, was a registered financial professional .
Robertus is a previously registered financial professional and started their career in finance in 1988. Robertus had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 10, Series 9, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2012 - September 14, 2012
GAR WOOD SECURITIES, LLC
November 5, 2009 - April 1, 2010
NATWEST MARKETS SECURITIES INC.
December 12, 2008 - March 31, 2009
NATWEST MARKETS SECURITIES INC.
June 24, 2008 - December 12, 2008
RBS SECURITIES CORPORATION
July 11, 2007 - November 2, 2009
ABN AMRO INCORPORATED
January 18, 2005 - October 6, 2006
UBS CLEARING SERVICES CORPORATION
May 8, 1996 - June 24, 2008
ABN AMRO INCORPORATED
October 5, 1995 - June 11, 1996
BA INVESTMENT SERVICES, INC.
October 7, 1993 - May 19, 1995
CHARLES SCHWAB & CO., INC.
September 27, 1988 - September 30, 1993
ABN AMRO 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
Series 55
Date: 8/7/2002
Limited Representative-Equity Trader ExamCurrent Firm
GAR WOOD SECURITIES, LLC
CRD#: 138033 / SEC#: , 8-67143
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GERECKE, DENNIS ROBERT | CLASS A MEMBER, EVP, COO, ROSFP | 1856554 |
| JERSEY, ROBERT STANTON | CEO, CLASS A MEMBER, SOLE MGR. | 1592359 |
| ROETTGER, ANDREW | CLASS B MEMBER | 7427489 |
| JERSEY, RICHARD ANDREW | CLASS B MEMBER | 8002945 |
| DOOLEY, BRADFORD R | OUTSIDE FINOP, PRIMARY FINANCIAL OFFICER, PRIMARY OPERATIONS OFFICER | 4308078 |
| GANTAR, CRAIG MICHAEL | CLASS B MEMBER, SVP, SALES MANAGER | 3238628 |
| GOUWENS, SHERRY LEE | CLASS B MEMBER , CHIEF ADMINISTRATIVE OFFICER | 4458617 |
| JERSEY, ROBERT COLEMAN | CLASS B MEMBER, SVP - SENIOR RELATIONSHIP MGR | 5870086 |
| TATTAS, MICHAEL CARL | CLASS B MEMBER, CHIEF COMPLIANCE OFFICER | 4386824 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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