Philip C. Stapleton
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 Charles Stapleton, who also goes by Phil Stapleton, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1973. Philip had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 16, Series 000, Series 14, Series 27 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
March 9, 2009 - May 13, 2015
COWEN PRIME SERVICES TRADING LLC
November 24, 2008 - July 14, 2009
HOCKING CAPITAL, LLC
November 10, 2005 - January 20, 2006
GRAIL SECURITIES, LLC
December 18, 2001 - January 16, 2004
INTERACTIVE BROKERS CORP.
November 19, 1998 - November 12, 1999
JWGENESIS SECURITIES, INC.
August 7, 1998 - July 13, 1999
JW GENESIS CLEARING CORP.
July 3, 1996 - March 26, 1998
SENECA DISTRIBUTORS, LLC
March 10, 1989 - December 31, 2008
COWEN PRIME SERVICES TRADING LLC
May 2, 1983 - January 6, 1989
MONTGOMERY SECURITIES
November 11, 1977 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
September 21, 1973 - July 21, 1974
AMERICAN SECURITIES BD CO., L.P.
June 1, 1973 - October 24, 1973
DUPONT GLORE FORGAN INC
April 16, 1973 - May 19, 1983
MORGAN STANLEY & CO. LLC
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 000
Date: 4/16/1973
General Securities Principal ExaminationSeries 40
Date: 5/24/1973
Registered Principal ExaminationCurrent Firm
COWEN PRIME SERVICES TRADING LLC
CRD#: 23857 / SEC#: , 8-40756
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN PB HOLDINGS LLC | DIRECT PARENT AND MEMBER | |
| BYRNE, WILLIAM FRANCIS | MANAGING DIRECTOR TRADING | 2152584 |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| COHEN, STEVEN ANDREW | CHIEF COMPLIANCE OFFICER | 2218249 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER | 1281617 |
| MARTIN, GEOFF JOSEPH | ROP | 4055156 |
| SIMMONS, JAMES ROBERT | CHIEF FINANCIAL OFFICER | 1327561 |
Disclosures
| Regulatory Event | 8 |
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.
