PA
Philip A. Auerbach
ADP BROKER-DEALER
Florham Park, NJ 07932
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CRD#: 4203261
PA
Professional summary
Philip Alan Auerbach is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Florham Park, New Jersey.
Philip is registered as a RR (Registered Representative) and started their career in finance in 2000. Philip has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 21 and Series 25 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Philip Alan Auerbach'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®
NoneExperience
Current
March 5, 2024 - Present
ADP BROKER-DEALER, INC.
Office #1: 71 Hanover Road, Florham Park, NJ 07932BD
CRD#: 37693
Florham Park, NJ
Past
February 5, 2021 - February 29, 2024
EQUITY SERVICES, INC.
RIA
CRD#: 265
RED BANK, NJ
Past
February 3, 2021 - February 29, 2024
EQUITY SERVICES, INC.
BD
CRD#: 265
RED BANK, NJ
Past
May 30, 2019 - February 9, 2021
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
Parsippany, NJ
Past
December 17, 2016 - February 9, 2021
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
PARSIPPANY, NJ
Past
July 19, 2010 - March 2, 2016
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
PARSIPPANY, NJ
Past
November 14, 2008 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
PARSIPPANY, NJ
Past
January 29, 2008 - December 8, 2008
FINANCIAL NORTHEASTERN SECURITIES, INC.
BD
CRD#: 17007
FAIRFIELD, NJ
Past
June 5, 2000 - July 22, 2005
VAN DER MOOLEN SPECIALISTS USA, LLC
BD
CRD#: 32034
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(3/14/2024)
RR
Alaska(3/14/2024)
RR
Arizona(3/14/2024)
RR
Arkansas(3/14/2024)
RR
California(3/14/2024)
RR
Colorado(3/14/2024)
RR
Connecticut(3/14/2024)
RR
Delaware(3/14/2024)
RR
District of Columbia(3/14/2024)
RR
Florida(3/14/2024)
RR
Georgia(3/14/2024)
RR
Hawaii(3/14/2024)
RR
Idaho(3/14/2024)
RR
Illinois(3/14/2024)
RR
Indiana(3/14/2024)
RR
Iowa(3/14/2024)
RR
Kansas(3/14/2024)
RR
Kentucky(3/14/2024)
RR
Louisiana(3/14/2024)
RR
Maine(3/14/2024)
RR
Maryland(3/14/2024)
RR
Massachusetts(3/14/2024)
RR
Michigan(3/14/2024)
RR
Minnesota(3/14/2024)
RR
Mississippi(3/14/2024)
RR
Missouri(3/14/2024)
RR
Montana(3/14/2024)
RR
Nebraska(3/14/2024)
RR
Nevada(3/14/2024)
RR
New Hampshire(3/14/2024)
RR
New Jersey(3/5/2024)
RR
New Mexico(3/14/2024)
RR
New York(3/14/2024)
RR
North Carolina(3/14/2024)
RR
North Dakota(3/14/2024)
RR
Ohio(3/15/2024)
RR
Oklahoma(3/14/2024)
RR
Oregon(3/14/2024)
RR
Pennsylvania(3/14/2024)
RR
Rhode Island(3/14/2024)
RR
South Carolina(3/14/2024)
RR
South Dakota(3/14/2024)
RR
Tennessee(3/14/2024)
RR
Texas(3/14/2024)
RR
Utah(3/14/2024)
RR
Vermont(3/14/2024)
RR
Virginia(3/14/2024)
RR
Washington(3/14/2024)
RR
West Virginia(3/14/2024)
RR
Wisconsin(3/14/2024)
RR
Wyoming(3/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 21
Date: 8/20/2002
NYSE Front Line Specialist ClerkGeneral Industry/Product Exam
RR
Series 25
Date: 10/17/2000
NYSE Trading Assistant ExaminationSRO Registrations
RR
FINRA
Current Firm
AB
ADP BROKER-DEALER, INC.
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
PREMIUM
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Contact information
Main Address
One Adp Boulevard, Roseland, NJ 07068-1786
Mailing Address
71 Hanover Road Ms - 580, Florham Park, NJ 07932
Phone number
(973) 712-2316
Established
New Jersey since 07/12/1994
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
