Richard J. Philipp
Professional summary
Richard Joseph Philipp was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard Joseph Philipp was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7 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
October 11, 2010 - November 22, 2011
KOVACK SECURITIES INC.
June 30, 2008 - July 30, 2010
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 13, 2006 - June 29, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 13, 2006 - June 29, 2007
MSI FINANCIAL SERVICES, INC.
March 3, 2003 - June 15, 2006
MML INVESTORS SERVICES, LLC
July 4, 2001 - January 8, 2003
CITICORP INVESTMENT SERVICES
March 14, 2000 - April 30, 2001
ESSEX NATIONAL SECURITIES, LLC
June 13, 1997 - April 5, 2000
MORGAN STANLEY DW INC.
April 10, 1996 - February 5, 1997
CONTINENTAL BROKER-DEALER CORP.
November 8, 1995 - March 4, 1996
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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