Philip Layne
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 Layne was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1970. Philip had worked at 13 firms and has passed the Series 63 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
July 10, 1997 - April 20, 1998
ALEXANDER, WESCOTT, & CO., INC.
March 15, 1994 - June 30, 1997
RETIREMENT INVESTMENT GROUP
May 20, 1992 - July 9, 1992
GOLDIS FINANCIAL GROUP, INC.
January 17, 1990 - May 16, 1990
LEHMAN BROTHERS INC.
December 5, 1989 - January 12, 1990
PHILIP LAYNE & CO., INC.
May 22, 1989 - September 6, 1989
CITIGROUP GLOBAL MARKETS INC.
January 11, 1989 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 25, 1982 - January 21, 1989
PHILIP LAYNE & CO., INC.
November 22, 1977 - February 17, 1982
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
May 23, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
January 25, 1974 - July 3, 1975
INVERNESS DISTRIBUTORS, INC.
November 27, 1972 - April 15, 1973
PHILIPS, APPEL & WALDEN, INC.
May 15, 1972 - November 6, 1972
A. C. KLUGER & CO.
March 12, 1970 - April 29, 1972
FERKAUF ROGGEN INCORPORATED
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
ALEXANDER, WESCOTT, & CO., INC.
CRD#: 35935 / SEC#: , 8-46935
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE FINANCIAL COMMERCE NETWORK INC. | SHAREHOLDER/PARENT | |
| BACH, RICHARD HANS | CHAIRMAN AND CEO | 1011097 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
