Philip W. Au

NASDAQ EXECUTION SERVICES

PHILADELPHIA, PA 19104

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CRD#: 3102675

Professional summary

Philip William Au, who also goes by Philip Au, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Philip Au

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) - BD

Click below to view Philip William Au's CRS (Customer Relationship Summary).

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

Current

February 1, 2006 - Present

NASDAQ EXECUTION SERVICES, LLC

Office #1: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104

CRD#: 7270

PHILADELPHIA, PA

Past

May 17, 2007 - April 4, 2014

NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295

NEW YORK, NY

Past

February 27, 2003 - June 9, 2004

INSTINET, LLC

CRD#: 42886

NEW YORK, NY

Past

May 22, 2002 - February 1, 2006

INET ATS, INC.

CRD#: 20746

JERSEY CITY, NJ

Past

February 9, 2000 - June 3, 2002

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

September 15, 1998 - February 4, 2000

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(2/1/2006)

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/26/2000

Registered Options Principal Examination

Current Firm

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270 / SEC#: , 8-37329

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104

Mailing Address

2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104

Phone number

(215) 496-5000

Established

Delaware since 11/25/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 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

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

Philip W. Au

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip William Au's CRS (Customer Relationship Summary).

Certified licenses

Experience

NASDAQ CAPITAL MARKETS ADVISORY LLC

INSTINET, LLC

INET ATS, INC.

TAFFERER TRADING, LLC

HARRISDIRECT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/1/1998

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/31/2001

Series 55

Date: 4/3/2000

Series 7

Date: 9/14/1998

Series 10

Date: 2/1/2002

Series 30

Date: 7/26/2001

Series 9

Date: 5/21/2001

Series 24

Date: 2/12/2001

Series 4

Date: 6/26/2000

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Nasdaq Stock Market

New York Stock Exchange

Current Firm

NASDAQ EXECUTION SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NASDAQ EXECUTION SERVICES, LLC

TRUST BUT VERIFY

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