Philip William Au
Professional Summary
Philip William Au, who also goes by Philip Au, is a registered financial advisor currently at NASDAQ EXECUTION SERVICES, LLC located in Philadelphia, Pennsylvania. Philip is registered as a RR (Registered Representative) and started their career in finance in 1998. Philip has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 10, Series 30, Series 9, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Philip Au
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Contact Information
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Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
BEAR STEARNS COMPUTER NETWORK INC. | THE BRUT ECN, L.L.C. | STRIKE TECHNOLOGIES LLC | NASDAQ EXECUTION SERVICES, LLC | COMMON BACK OFFICE, INC. | BSC SECURITIES CORP. | BRUT, LLC
Contact Information
Main Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104Mailing Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104Phone Number
(215) 496-5000Established
Delaware since 11/25/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | — |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(2/1/2006)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2001About the Series 9 examSRO Registrations
SRO Registrations
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SRO Registrations
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SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Philip William Au's CRS (Customer Relationship Summary).
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