Philip A. Saunders
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 Alexander Saunders, who also goes by Philip A Saudners, Philip Alexander Saudners, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2001. Philip had worked at 5 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2012 - February 1, 2013
TOPEKA CAPITAL MARKETS INC.
May 20, 2009 - December 9, 2009
UPHOLD SECURITIES INC.
April 24, 2006 - December 1, 2008
SUSQUEHANNA FINANCIAL GROUP, LLLP
November 2, 2004 - April 10, 2006
BANC OF AMERICA SECURITIES LLC
April 4, 2001 - July 15, 2002
WEDBUSH SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
