Philip R. Rosato
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 Richard Rosato, who also goes by Phil Rosato, Philip Rosato, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1996. Philip had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2019 - September 29, 2020
BGC FINANCIAL, L.P.
December 14, 2016 - November 1, 2017
JONESTRADING
September 13, 2016 - December 12, 2016
WILLIAMS TRADING LLC
December 10, 2012 - January 27, 2016
HSBC SECURITIES (USA) INC.
November 16, 2004 - October 31, 2012
ING FINANCIAL MARKETS LLC
November 1, 2004 - November 24, 2004
HSBC SECURITIES (USA) INC.
April 28, 2003 - September 22, 2004
FULCRUM GLOBAL PARTNERS LLC
June 25, 2002 - February 14, 2003
COMMERZBANK CAPITAL MARKETS CORP.
March 1, 2002 - June 13, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
May 1, 2000 - April 30, 2001
ABN AMRO INCORPORATED
July 8, 1999 - May 17, 2000
ABN AMRO SECURITIES LLC
August 17, 1998 - June 7, 1999
ROBERT FLEMING INC.
October 15, 1996 - March 10, 1998
ING BARING (U.S.) SECURITIES, INC.
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
Current Firm
BGC FINANCIAL, L.P.
CRD#: 19801 / SEC#: , 8-39012
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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