Philip J. Hourican
Professional summary
Philip Joseph Hourican was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Philip had worked at 5 firms, which includes KIMBERLY SECURITIES INC., MORGAN STANLEY DW INC., SECWEST SECURITIES INC., THE CONCORD EQUITY GROUP LLC, W.A. CAPITAL MARKETS.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2001 - September 17, 2002
KIMBERLY SECURITIES, INC.
January 26, 2001 - April 5, 2001
MORGAN STANLEY DW INC.
March 6, 2000 - July 25, 2000
KIMBERLY SECURITIES, INC.
November 5, 1999 - April 13, 2000
SECWEST SECURITIES, INC.
July 7, 1999 - November 3, 1999
THE CONCORD EQUITY GROUP, LLC
January 14, 1999 - June 7, 1999
W.A. CAPITAL MARKETS
State Registrations and Notice Filings
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Exams
Current Firm
KIMBERLY SECURITIES, INC.
CRD#: 19241 / SEC#: , 8-37321
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 6 |
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