Philippe A. Hatstadt
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 Andre Hatstadt, who also goes by Philippe Hatstadt, was a registered financial professional .
Philippe is a previously registered financial professional and started their career in finance in 1993. Philippe had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 3 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
April 25, 2019 - August 8, 2024
EXOS SECURITIES LLC
July 7, 2011 - October 23, 2018
CREDIT SUISSE SECURITIES (USA) LLC
September 22, 2008 - January 27, 2010
BARCLAYS CAPITAL INC.
June 17, 2008 - September 22, 2008
LEHMAN BROTHERS INC.
September 19, 2006 - June 12, 2008
J.P. MORGAN SECURITIES LLC
August 13, 2003 - February 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 2000 - November 12, 2002
J.P. MORGAN SECURITIES LLC
November 3, 1997 - March 23, 2000
CIBC WORLD MARKETS CORP.
June 19, 1997 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
June 21, 1994 - March 8, 1995
CIBC WOOD GUNDY SECURITIES CORP.
January 4, 1993 - December 9, 1997
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/15/2012
Limited Representative-Equity Trader ExamCurrent Firm
EXOS SECURITIES LLC
CRD#: 298276 / SEC#: , 8-70182
Contact information
FINRA licenses (12 States and Territories)
Red Flags
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