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Carl R. Kunz

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CRD#: 4207522
CK

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.

Carl R Kunz was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 2000. Carl had worked at 8 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 14, Series 24, Series 10, Series 9 and Series 4 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

September 1, 2015 - April 27, 2020

PHILLIP CAPITAL INC.

BD
CRD#: 173869
CHICAGO, IL
Past

June 26, 2013 - April 30, 2014

PEAK6 PERFORMANCE MANAGEMENT LLC

BD
CRD#: 137368
CHICAGO, IL
Past

October 3, 2011 - April 18, 2013

PEAK6 VEGA MASTER FUND LLC

BD
CRD#: 158878
CHICAGO, IL
Past

April 29, 2011 - April 30, 2014

PEAK6 CAPITAL MANAGEMENT LLC

BD
CRD#: 43773
CHICAGO, IL
Past

November 3, 2009 - May 6, 2014

DOUGH LLC

BD
CRD#: 148243
CHICAGO, IL
Past

January 30, 2007 - November 23, 2010

OPTIONSHOUSE1, LLC

BD
CRD#: 135625
CHICAGO, IL
Past

June 29, 2004 - January 29, 2007

SANCTUARY SECURITIES, INC.

BD
CRD#: 205
MIAMI, FL
Past

July 6, 2000 - May 21, 2004

HOWE BARNES HOEFER & ARNETT, INC.

BD
CRD#: 2240
CHICAGO, IL

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: 12/11/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/20/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/20/2022
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 12/20/2022
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/20/2022
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/20/2022
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/20/2022
Registered Options Principal Examination

Current Firm

PC
PHILLIP CAPITAL INC.
PHILLIP CAPITAL INC. | PHILLIPCAPITAL

CRD#: 173869 / SEC#: , 8-69558

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

Main Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Mailing Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Phone number
(312) 356-9000
Established
Delaware since 04/30/2010
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHILLIP CAPITAL (USA) PTE LTDOWNER
CARTER, DEREK DAVIDCFO4261872
CULLEN, TIMOTHY BRENNANCHIEF COMPLIANCE OFFICER5290046
FRAZIER, CAMERON PAYNEDIRECTOR6420648
LECCHINI, FILIPPOCHIEF EXECUTIVE OFFICER5875701
SCHROEDER, TODD ALLENCHIEF OPERATING OFFICER3203892

Disclosures

Regulatory Event6

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

PHILLIP CAPITAL INC.

CRD#: 173869

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