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PD

Philip R. Deroziere

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CRD#: 2848342
PD

Professional summary

Philip Rene Deroziere was barred by the FINRA 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 1997. Prior to being barred, Philip had worked at 4 firms, which includes ANKURA CAPITAL ADVISORS LLC, CBW SECURITIES LLC, PREBON FINANCIAL PRODUCTS INC., TD SECURITIES (USA) LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 19, 2005 - February 13, 2008

ANKURA CAPITAL ADVISORS, LLC

BD
CRD#: 114155
CHICAGO, IL
Past

November 22, 2004 - April 8, 2005

CBW SECURITIES, LLC

BD
CRD#: 132023
ATLANTA, GA
Past

December 16, 1998 - April 6, 2000

PREBON FINANCIAL PRODUCTS INC.

BD
CRD#: 29551
JERSEY CITY, NJ
Past

April 18, 1997 - July 7, 1997

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/18/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/12/2005
General Securities Principal Examination

Current Firm

AC
ANKURA CAPITAL ADVISORS, LLC
ANKURA CAPITAL ADVISORS, LLC | NAVIGANT CONSULTING ENERGY CAPITAL, LLC | NAVIGANT CONSULTING CAPITAL, LLC | NAVIGANT CAPITAL ADVISORS, LLC

CRD#: 114155 / SEC#: , 8-53403

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

Main Address
485 Lexington Avenue 10th Floor, New York, NY 10017
Mailing Address
485 Lexington Avenue 10th Floor, New York, NY 10017
Phone number
(212) 818-1555
Established
Delaware since 06/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THOREAU HOLDCO, LLCSOLE MEMBER
HILFER, STEVEN MARTINDIRECTOR1744802
LENART, BRIAN DOUGLASCCO, AMLCO736107
OBSBAUM, FREDRIC MICHAELFINOP, PFO/POO1160811

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

ANKURA CAPITAL ADVISORS, LLC

CRD#: 114155

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