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MP

Michael C. Phillips

FIRST BROKERS SECURITIES LLC
JERSEY CITY, NJ 07311
Some features on this profile are disabled
CRD#: 2528672
MP

Professional summary

Michael Cuyler Phillips JR, who also goes by Mike Phillips, is a registered financial professional currently at FIRST BROKERS SECURITIES LLC located in Jersey City, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Phillips

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 Michael Cuyler Phillips JR's CRS (Customer Relationship Summary).
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

April 28, 2014 - Present

FIRST BROKERS SECURITIES LLC

Office #1: Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311
BD
CRD#: 27369
JERSEY CITY, NJ
Past

January 3, 2011 - March 14, 2014

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

September 8, 2005 - November 18, 2010

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

May 3, 1999 - July 11, 2005

FIRST BROKERS SECURITIES LLC

BD
CRD#: 27369
JERSEY CITY, NJ
Past

October 19, 1995 - April 28, 1999

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

September 22, 1994 - October 16, 1995

CEDAR STREET SECURITIES CORP.

BD
CRD#: 26600
NEW YORK, 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
New Jersey
(4/28/2014)
RR
New York
(4/28/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 9/30/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FIRST BROKERS SECURITIES LLC
FIRST BROKERS SECURITIES LLC | JUPITER SECURITIES, A DIVISION OF FIRST BROKERS SECURITIES LLC | FIRST BROKERS SECURITIES, INC.

CRD#: 27369 / SEC#: , 8-43035

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311
Mailing Address
Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311
Phone number
(212) 513-4444
Established
Delaware since 11/19/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AO-FIRST BROKERS, LLCMEMBER
ICAP GLOBAL BROKING INC.MEMBER
BERNARDO, SHAWN FRANCISDIRECTOR2513376
DOWER, ROBERT HAROLDDIRECTOR, CFO1540678
GURKOVIC, CHRISTOPHER EMERICKCOO/CCO2978797
OKEEFE, ANDREW JOHNDIRECTOR, PRESIDENT AND CEO1042045
SOLDIVIERO, LUCIANO MICHAELDIRECTOR2487532

Disclosures

Regulatory Event3

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.

Company Information

FIRST BROKERS SECURITIES LLC

CRD#: 27369Jersey City, NJ 07311

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