Philip Huber
Professional summary
Philip Huber was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Philip had worked at 14 firms, which includes KILEY PARTNERS INC., LM CAPITAL SECURITIES INC., COMPULIFE INVESTOR SERVICES INC., CROWN FINANCIAL ASSOCIATES INC., FUNDMARK INVESTMENT COMPANY SERVICES INC., KIDDER PEABODY & CO. INCORPORATED, INTEGRATED RESOURCES EQUITY CORPORATION, W&S BROKERAGE SERVICES INC., UBS FINANCIAL SERVICES INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED, DUPONT WALSTON INCORPORATED, DUPONT GLORE FORGAN INC, H. HENTZ & CO. INC., F I DUPONT GLORE FORGAN & CO.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 1998 - October 12, 1998
KILEY PARTNERS, INC.
April 4, 1997 - October 26, 2000
LM CAPITAL SECURITIES, INC.
October 18, 1993 - March 7, 1997
COMPULIFE INVESTOR SERVICES, INC.
June 24, 1992 - October 18, 1993
CROWN FINANCIAL ASSOCIATES, INC.
August 13, 1991 - June 9, 1992
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
October 5, 1988 - April 2, 1991
KIDDER, PEABODY & CO. INCORPORATED
February 22, 1988 - July 8, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
November 3, 1986 - October 9, 1987
W&S BROKERAGE SERVICES, INC.
September 12, 1978 - November 6, 1985
UBS FINANCIAL SERVICES INC.
February 7, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 2, 1973 - March 25, 1974
DUPONT WALSTON, INCORPORATED
April 26, 1972 - July 2, 1973
DUPONT GLORE FORGAN INC
July 2, 1971 - April 20, 1972
H. HENTZ & CO., INC.
February 16, 1968 - June 28, 1971
F I DUPONT GLORE FORGAN & 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
Series 1
Date: 5/24/1965
Registered Representative ExaminationSeries 40
Date: 10/5/1974
Registered Principal ExaminationCurrent Firm
KILEY PARTNERS, INC.
CRD#: 37814 / SEC#: , 8-48050
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KILEY, MICHAEL DOUGLAS | C.E.O., FINOP, CCO, COO | 1550462 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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