Philip M. Hanover
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Philip Martin Hanover was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1970. Philip had worked at 8 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2015 - December 16, 2016
VANDERBILT SECURITIES, LLC
May 15, 2006 - March 6, 2015
OPPENHEIMER & CO. INC.
October 14, 2002 - March 6, 2015
OPPENHEIMER & CO. INC.
April 29, 2002 - October 25, 2002
RYAN BECK & CO.
March 1, 1988 - May 17, 2002
GRUNTAL & CO., L.L.C.
August 14, 1978 - March 8, 1988
PRESCOTT, BALL & TURBEN, INC.
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
September 3, 1971 - February 4, 1977
WEINGARTEN, ROSENBAUM & CO.
September 29, 1970 - September 3, 1971
WEINGARTEN ROSENBAUM & CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 8/8/1958
Registered Representative ExaminationSeries 40
Date: 8/5/1968
Registered Principal ExaminationSeries 12
Date: 1/16/1967
NYSE Branch Manager ExaminationCurrent Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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