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Philipp E. Preuss

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CRD#: 2981562
PP

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.

Philipp Eduard Preuss was a registered financial professional .

Philipp is a previously registered financial professional and started their career in finance in 1998. Philipp had worked at 6 firms and has passed the Series 63, Series 17, Series 7 and Series 24 exams.

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

February 3, 2014 - May 2, 2014

PEEL HUNT INC.

BD
CRD#: 157321
LONDON,
Past

March 7, 2013 - February 4, 2014

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
NEW YORK, NY
Past

April 28, 2010 - February 14, 2012

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

July 25, 2005 - June 24, 2009

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

July 27, 2001 - December 17, 2001

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA
Past

January 21, 1998 - July 27, 2001

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA

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: 7/28/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 17
Date: 7/22/2005
Limited Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/10/2005
General Securities Principal Examination

Current Firm

PH
PEEL HUNT INC.
PEEL HUNT INC.

CRD#: 157321 / SEC#: , 8-68845

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

Main Address
7th Floor 100 Liverpool Street, London, EC2M 2AT
Mailing Address
7th Floor 100 Liverpool Street, London, EC2M 2AT
Phone number
4420 7418-8900
Established
Delaware since 03/04/2011
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PEEL HUNT INTERNATIONAL LIMITEDOWNER
FINE, STEVEN HARVEYCHAIRMAN2000873
GROSS, ANDREW PAULCEO2402407
LAW, GEORGIA PHILIPPA DUNCANCCO8165329
RUTITSKIY, DMITRIY NMNFINOP6117665
SCHOFIELD, JAMESPOO, PFO7138333

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

PEEL HUNT INC.

CRD#: 157321

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