Alexander M. Phillips
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.
Alexander Montague Phillips was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2007. Alexander had worked at 3 firms and has passed the Series 63, 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
April 22, 2016 - January 13, 2017
THE HINA GROUP, INC.
April 13, 2010 - August 25, 2015
J.P. MORGAN SECURITIES LLC
August 8, 2007 - March 2, 2010
CAZENOVE 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 55
Date: 8/23/2010
Limited Representative-Equity Trader ExamCurrent Firm
THE HINA GROUP, INC.
CRD#: 128128 / SEC#: , 8-66091
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HINA GROUP HOLDINGS | SOLE STOCKHOLDER | |
| CLOW, ERIC DEMEY | CHIEF FINANCIAL OFFICER & FINOP | |
| ZHANG, MIN | CEO & CCO | 4997308 |
Red Flags
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