Adam E. Phillips

VAN ECK SECURITIES

New York, NY 10017

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CRD#: 2312228

Professional summary

Adam E Phillips is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 1993. Adam has worked at 6 firms and has passed the Series 63, SIE 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 Adam E Phillips'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 13, 2006 - Present

VAN ECK SECURITIES CORPORATION

Office #1: 666 Third Avenue 9th Floor, New York, NY 10017

CRD#: 2269

New York, NY

Past

November 30, 2004 - May 8, 2006

LB TRADING L.L.C.

CRD#: 132973

WESTON, CT

Past

October 15, 2004 - November 30, 2004

BAGPIPER TRADING, LLC

CRD#: 132791

NEW YORK, NY

Past

June 3, 2004 - September 30, 2004

THE BAGPIPER FUND, L.P.

CRD#: 104352

NEW YORK, NY

Past

September 26, 2003 - November 30, 2004

ORBIT II PARTNERS, L.P.

CRD#: 33549

NEW YORK, NY

Past

October 29, 1993 - October 10, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

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

Florida
(4/27/2011)

New York
(4/24/2008)

Exams

State Security Law Exam

Series 63

Date: 4/23/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION

CRD#: 2269 / SEC#: , 8-4618

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Mailing Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Phone number

(212) 293-2000

Established

Delaware since 08/01/1955

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
VAN ECK ASSOCIATES CORPORATION	100% OWNER & PARENT
GOZZILLO, FRANCESCO MICHAEL	CHIEF COMPLIANCE OFFICER	2099916
RAPPAPORT, LEE ROBERT	VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR	4682842
SIMON, JONATHAN RICH	SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR	5313394
VANECK, JAN FREDERICK	PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR	1695680

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.

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Firm Stability Insights

Adam E. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam E Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

LB TRADING L.L.C.

BAGPIPER TRADING, LLC

THE BAGPIPER FUND, L.P.

ORBIT II PARTNERS, L.P.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/23/2008

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2006

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VAN ECK SECURITIES CORPORATION

TRUST BUT VERIFY

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