Philip E. Riggio
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 Edward Riggio was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1997. Philip had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
November 9, 2023 - November 22, 2024
BAY CREST PARTNERS, LLC
January 17, 2023 - September 20, 2023
CLEAR STREET LLC
October 20, 2021 - January 9, 2023
WALL STREET ACCESS
August 1, 2012 - November 3, 2021
NORTHLAND SECURITIES, INC.
July 6, 2009 - July 25, 2012
RODMAN & RENSHAW, LLC
October 24, 2001 - June 11, 2009
CANTOR FITZGERALD & CO.
April 16, 2001 - July 18, 2001
COWEN AND COMPANY
July 19, 2000 - March 12, 2001
DEUTSCHE BANK SECURITIES INC.
November 7, 1997 - July 3, 2000
FERRIS, BAKER WATTS, LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
BAY CREST PARTNERS, LLC
CRD#: 39944 / SEC#: , 8-48931
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
Red Flags
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