Philip P. Speyer
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 Pach Speyer was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1967. Philip had worked at 14 firms and has passed the Series 63, Series 7, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 1994 - January 12, 1995
FAB SECURITIES OF AMERICA, INC.
February 4, 1994 - May 16, 1994
TAMARON INVESTMENTS, INC.
October 15, 1993 - January 7, 1994
WALFORD & COMPANY, INC.
March 8, 1989 - December 19, 1989
WILSHIRE CLEARING CORPORATION
January 21, 1986 - March 16, 1989
SACKS INVESTMENT COMPANY, INC.
December 27, 1984 - November 7, 1985
J.P. MORGAN SECURITIES LLC
March 7, 1984 - January 4, 1985
ROONEY, PACE INC.
November 23, 1982 - March 2, 1984
J. DAVID SECURITIES, INC.
October 5, 1979 - December 29, 1982
PRUDENTIAL EQUITY GROUP, LLC
January 18, 1978 - September 20, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
July 1, 1973 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
January 5, 1973 - June 8, 1973
WEIS SECURITIES, INC.
August 22, 1967 - March 6, 1973
BACHE & CO 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
Series 1
Date: 8/21/1967
Registered Representative ExaminationSeries 40
Date: 11/18/1971
Registered Principal ExaminationCurrent Firm
FAB SECURITIES OF AMERICA, INC.
CRD#: 28212 / SEC#: , 8-41925
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAB CAPITAL CORPORATION | ACQUIRING SOLE SHAREHOLDER | |
| SCHNEIDER, ROBERT ANDREW | SELLING MAJORITY SHAREHOLDER | 2128754 |
| SCHNEIDER, ROBERT ANDREW | RESIGNED CHAIRMAN AND PRESIDENT | 2128754 |
| HEILPERN, GERALD MARTIN | ACTING/INTERIM CHIEF OPERATING OFFICER | 241803 |
| HEILPERN, GERALD MARTIN | CHIEF OPERATING OFFICER AND DIRECTOR | 241803 |
| HEILPERN, GERALD MARTIN | RESIGNED CHIEF OPERATING OFFICER AND RESIGNED DIRECTOR | 241803 |
| MOLDTORRES, JULIA ANTIGONE | RESIGNED CHIEF FINANCIAL OFFICER (PRINCIPAL) | 2155228 |
| PARSONS, DAVID WAYNE | CHIEF LEGAL OFFICER | 2963654 |
| SCHNEIDER, SUE ELLEN | SELLING MINORITY SHAREHOLDER | |
| SCHULMAN, FREDRICK | RESIGNED CHIEF LEGAL OFFICER | 2834936 |
| STRAUSBERG, RANDY MARSHALL | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | 818732 |
| STRAUSBERG, RANDY MARSHALL | CHIEF FINANCIAL OFFICER (PRINCIPAL) | 818732 |
| STRAUSBERG, RANDY MARSHALL | ACTING/INTERIM CHIEF EXECUTIVE OFFICER | 818732 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
Red Flags
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