William Phipps
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.
William Phipps, who also goes by Bill John Phipps, William John Phipps, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2003. William had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2020 - December 16, 2024
CITADEL SECURITIES LLC
February 5, 2020 - December 16, 2024
CITADEL SECURITIES INSTITUTIONAL LLC
June 10, 2019 - January 14, 2020
WALLEYE TRADING LLC
April 4, 2011 - July 23, 2015
HAP TRADING, LLC
September 9, 2008 - March 23, 2011
SUSQUEHANNA FINANCIAL GROUP, LLLP
November 8, 2007 - March 23, 2011
SAL EQUITY TRADING, GP
September 23, 2003 - March 1, 2004
SUSQUEHANNA INVESTMENT GROUP
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 57TO
Date: 6/9/2019
Securities Trader ExamSeries 55
Date: 11/15/2007
Limited Representative-Equity Trader ExamCurrent Firm
CITADEL SECURITIES LLC
CRD#: 116797 / SEC#: , 8-53574
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 75 |
| Arbitration | 1 |
Red Flags
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