PQ
Philip P. Quartuccio
THINKEQUITY LLC
NEW YORK, NY 10004
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CRD#: 2397864
PQ
Professional summary
Philip Paul Quartuccio is a registered financial professional currently at THINKEQUITY LLC located in New York, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1994. Philip has worked at 15 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 25, Series 7, Series 62 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Philip Paul Quartuccio'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®
NoneExperience
Current
April 20, 2020 - Present
THINKEQUITY LLC
Office #1: 17 State Street, 41st Floor, New York, NY 10004Office #2: 17 State Street 41st Floor, New York, NY, 10004BD
CRD#: 20996
NEW YORK, NY
Past
December 4, 2017 - April 20, 2020
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
New York, NY
Past
November 24, 2015 - December 31, 2015
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
January 12, 2009 - November 30, 2017
ILLUSTRO TRADING, LLC
BD
CRD#: 32792
NEW YORK, NY
Past
June 30, 2008 - January 12, 2010
ABN AMRO CLEARING USA LLC
BD
CRD#: 14020
CHICAGO, IL
Past
October 22, 2007 - June 30, 2008
BROWN BROTHERS HARRIMAN & CO.
BD
CRD#: 104487
NEW YORK, NY
Past
August 1, 2007 - January 23, 2009
GLOBAL DIRECT EQUITIES, LLC
BD
CRD#: 124514
NEW YORK, NY
Past
April 17, 2002 - July 31, 2007
NATIXIS SECURITIES AMERICAS LLC
BD
CRD#: 1101
NEW YORK, NY
Past
February 15, 2002 - April 16, 2002
LABRANCHE FINANCIAL SERVICES, LLC
BD
CRD#: 7432
NEW YORK, NY
Past
February 8, 2002 - April 9, 2002
GALWAY SECURITIES CORPORATION
BD
CRD#: 33211
NEW YORK, NY
Past
October 12, 1999 - February 4, 2002
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
Past
April 2, 1997 - January 5, 1998
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
May 6, 1996 - April 25, 1997
THE BOSTON GROUP
BD
CRD#: 37652
LOS ANGELES, CA
Past
April 18, 1995 - June 11, 1996
BARINGTON CAPITAL GROUP, L.P.
BD
CRD#: 29383
NEW YORK, NY
Past
May 26, 1994 - April 3, 1995
FIRST ASSET MANAGEMENT, INC.
BD
CRD#: 17341
GARDEN CITY, NY
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
Arizona(7/23/2020)
RR
California(7/23/2020)
RR
Colorado(7/24/2020)
RR
Connecticut(4/20/2020)
RR
District of Columbia(7/31/2020)
RR
Idaho(7/27/2020)
RR
Illinois(7/21/2020)
RR
Indiana(7/24/2020)
RR
Iowa(7/29/2020)
RR
Kansas(7/27/2020)
RR
Louisiana(7/27/2020)
RR
Maine(7/27/2020)
RR
Minnesota(7/24/2020)
RR
Nebraska(8/3/2020)
RR
New Jersey(4/20/2020)
RR
New Mexico(7/24/2020)
RR
New York(4/20/2020)
RR
North Carolina(7/28/2020)
RR
North Dakota(7/28/2020)
RR
Ohio(7/24/2020)
RR
Oklahoma(7/27/2020)
RR
Pennsylvania(4/20/2020)
RR
Puerto Rico(8/3/2020)
RR
Rhode Island(7/28/2020)
RR
South Carolina(2/9/2021)
RR
South Dakota(7/24/2020)
RR
Tennessee(1/24/2022)
RR
Texas(7/24/2020)
RR
Virgin Islands(7/24/2020)
RR
Virginia(7/27/2020)
RR
West Virginia(7/28/2020)
RR
Wisconsin(7/23/2020)
RR
Wyoming(7/27/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 12/12/2022
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 3/13/2000
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/25/1994
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TL
THINKEQUITY LLC
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
17 State Street 41st Floor, New York, NY, 10004
Mailing Address
17 State Street 41st Floor, New York, NY, 10004
Phone number
(212) 732-8500
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
