William J. Filip
Professional summary
William Jay Filip, who also goes by William J Filip, is a registered financial professional currently at DSP SECURITIES, LLC located in Conshohocken, Pennsylvania.
William is registered as a RR (Registered Representative) and started their career in finance in 2003. William has worked at 3 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Jay Filip's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2019 - Present
DSP SECURITIES, LLC
Office #1: 161 Washington Street Suite 580, Conshohocken, PA 19428Office #2: 161 Washington Street, Suite 580, Conshohocken, PA 19428April 25, 2013 - May 14, 2019
SSG CAPITAL ADVISORS, LLC
June 25, 2007 - January 24, 2012
ROBERT W. BAIRD & CO. INCORPORATED
September 2, 2003 - January 24, 2012
ROBERT W. BAIRD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/23/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
DSP SECURITIES, LLC
CRD#: 298048 / SEC#: , 8-70170
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELANCEY STREET HOLDINGS LLC | SHAREHOLDER | |
| ATTANASIO, ELIZABETH MARIE | FINOP, PFO | 5325007 |
| DOLAN, PATRICK EDWARD | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR | |
| FILIP, WILLIAM JAY | MANAGING DIRECTOR | |
| SCHMUCKER, B ANDREW | MANAGING PARTNER |
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.
