John V. Phaby

X-CHANGE FINANCIAL ACCESS

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 2288471

Professional summary

John Vincent Phaby is a registered financial professional currently at X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 John Vincent Phaby'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®

None

Experience

Current

September 30, 2011 - Present

X-CHANGE FINANCIAL ACCESS, LLC

Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606

CRD#: 126201

Chicago, IL

Past

January 20, 2010 - September 1, 2011

MEB OPTIONS, LLC

CRD#: 113332

CHICAGO, IL

Past

April 9, 2002 - January 6, 2010

MF GLOBAL INC.

CRD#: 6731

CHICAGO, IL

Past

October 16, 1997 - April 19, 2002

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

December 1, 1993 - December 9, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 23, 1992 - March 11, 1993

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 7/25/2024

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/7/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/18/1992

General Securities Representative Examination

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

Current Firm

X-CHANGE FINANCIAL ACCESS, LLC

CRD#: 126201 / SEC#: , 8-65860

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

222 W Adams Street Suite 450, Chicago, IL 60606

Mailing Address

222 W Adams Street Suite 450, Chicago, IL 60606

Phone number

(312) 235-0320

Established

Illinois since 04/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MAREX NORTH AMERICA HOLDINGS INC	DIRECT PARENT
BATES, CHRISTOPHER	CFO/FINOP	5648556
GEYE, ANDREW J	CEO-SECURITIES DIVISION	6323003
KROPKE, PAUL STEVEN	CHIEF COMPLIANCE OFFICER	2572796
MEOLA, ANGELO	PRINCIPAL OPERATIONS OFFICER	4218349

Disclosures

Regulatory Event

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John V. Phaby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Vincent Phaby's CRS (Customer Relationship Summary).

Certified licenses

Experience

MEB OPTIONS, LLC

MF GLOBAL INC.

HAPOALIM SECURITIES USA, INC.

PRUDENTIAL EQUITY GROUP, LLC

H.J. MEYERS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/16/1992

Series 99TO

Date: 7/25/2024

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/7/1995

Series 7

Date: 11/18/1992

Cboe Exchange, Inc.

FINRA

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Current Firm

X-CHANGE FINANCIAL ACCESS, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

X-CHANGE FINANCIAL ACCESS, LLC

TRUST BUT VERIFY

Similar Advisors