Philip M. Mylet
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 M Mylet, who also goes by Philip Martin Mylet, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1993. Philip had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2013 - July 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 2013 - July 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2006 - June 4, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
June 10, 2004 - June 3, 2005
MERCATOR ASSOCIATES, LLC
March 1, 2002 - July 12, 2002
PACIFIC CREST SECURITIES LLC
April 4, 2001 - June 4, 2001
ELECTRONIC TRADING GROUP, LLC
March 21, 2001 - April 17, 2001
RUMSON CAPITAL, LLC
April 8, 1999 - May 13, 1999
HAMBRECHT & QUIST LLC
September 27, 1996 - February 8, 1999
PREFERREDTRADE, INC.
March 20, 1996 - August 20, 1996
CARLIN EQUITIES, LLC
December 12, 1994 - October 30, 1995
NATIONAL CLEARING CORP.
November 17, 1993 - December 5, 1994
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 55
Date: 6/27/2002
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
