Phillip S. Huynh
Professional summary
Phillip Sok Huynh, who also goes by Sok Oueng, is a registered financial professional currently at TRADEWEB LLC located in New York, New York.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 2004. Phillip has worked at 3 firms and has passed the Series 66, Series 99TO, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Phillip Sok Huynh's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2022 - Present
TRADEWEB LLC
Office #1: 245 Park Avenue 30th Floor, New York, NY 10167October 8, 2019 - September 7, 2022
BROKERTEC AMERICAS LLC
November 26, 2004 - September 25, 2006
AMERIPRISE FINANCIAL SERVICES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 10/8/2019
General Securities Representative ExaminationFINRA
Current Firm
TRADEWEB LLC
CRD#: 42759 / SEC#: , 8-49994
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB GLOBAL LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER | 4291263 |
| PITTINSKY, JONATHAN DAVID | DIRECTOR OF FINANCIAL OPERATIONS, FIN-OP PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Red Flags
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