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PG

Philip M. Gaechter

PARALEL DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 2075768
PG

Professional summary

Philip Matthew Gaechter, CIMA® is a registered financial professional currently at PARALEL DISTRIBUTORS located in New York, New York.

Philip is registered as a RR (Registered Representative) and started their career in finance in 1990. Philip has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Matthew Gaechter's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CIMA®

Certified Investment Management Analyst

Experience

Current

September 24, 2024 - Present

PARALEL DISTRIBUTORS

Office #1: 950 3rd Avenue, New York, NY 10022
BD
CRD#: 316115
New York, NY
Past

September 1, 2011 - January 3, 2024

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

July 28, 2004 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA
CRD#: 104626
IRVINE, CA
Past

January 24, 2003 - December 31, 2003

NUVEEN INVESTMENTS ADVISERS, LLC

RIA
CRD#: 123122
IRVINE, CA
Past

January 16, 2002 - January 26, 2009

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA
CRD#: 106562
IRVINE, CA
Past

November 26, 2001 - January 3, 2024

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

January 15, 1997 - October 25, 2001

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

July 30, 1990 - December 12, 1996

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/24/2024)
RR
Alaska
(9/24/2024)
RR
Arizona
(9/24/2024)
RR
Arkansas
(9/24/2024)
RR
California
(9/24/2024)
RR
Colorado
(9/24/2024)
RR
Connecticut
(9/24/2024)
RR
Delaware
(9/24/2024)
RR
District of Columbia
(9/24/2024)
RR
Florida
(9/24/2024)
RR
Georgia
(9/24/2024)
RR
Hawaii
(9/24/2024)
RR
Idaho
(9/24/2024)
RR
Illinois
(9/24/2024)
RR
Indiana
(9/24/2024)
RR
Iowa
(9/24/2024)
RR
Kansas
(9/24/2024)
RR
Kentucky
(9/24/2024)
RR
Louisiana
(9/24/2024)
RR
Maine
(9/24/2024)
RR
Maryland
(9/24/2024)
RR
Massachusetts
(9/24/2024)
RR
Michigan
(9/24/2024)
RR
Minnesota
(9/24/2024)
RR
Mississippi
(9/24/2024)
RR
Missouri
(9/24/2024)
RR
Montana
(9/24/2024)
RR
Nebraska
(9/24/2024)
RR
Nevada
(9/24/2024)
RR
New Hampshire
(9/24/2024)
RR
New Jersey
(9/24/2024)
RR
New Mexico
(9/24/2024)
RR
New York
(9/24/2024)
RR
North Carolina
(9/24/2024)
RR
North Dakota
(9/24/2024)
RR
Ohio
(9/24/2024)
RR
Oklahoma
(9/24/2024)
RR
Oregon
(9/24/2024)
RR
Pennsylvania
(9/24/2024)
RR
Puerto Rico
(9/24/2024)
RR
Rhode Island
(9/24/2024)
RR
South Carolina
(9/24/2024)
RR
South Dakota
(9/24/2024)
RR
Tennessee
(9/24/2024)
RR
Texas
(9/24/2024)
RR
Utah
(9/24/2024)
RR
Vermont
(9/24/2024)
RR
Virgin Islands
(9/24/2024)
RR
Virginia
(9/24/2024)
RR
Washington
(9/24/2024)
RR
West Virginia
(9/24/2024)
RR
Wisconsin
(9/24/2024)
RR
Wyoming
(9/24/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/15/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/30/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/27/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/23/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PARALEL DISTRIBUTORS
PARALEL DISTRIBUTORS | PARALEL DISTRIBUTORS LLC

CRD#: 316115 / SEC#: , 8-70771

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1700 Broadway Suite 1850, Denver, CO 80290
Mailing Address
1700 Broadway Suite 1850, Denver, CO 80290
Phone number
(303) 378-0364
Established
Delaware since 06/21/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PARALEL TECHNOLOGIES, LLCDIRECT OWNER
MAY, JEREMY OPPEGARDCEO/FOUNDER2744563
SWENSON, BRADLEY JOHNPRESIDENT/CCO/FINOP2666663

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.

Company Information

PARALEL DISTRIBUTORS

CRD#: 316115New York, NY 10022

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