Philip Au
Professional summary
Philip Au is a registered financial professional currently at HUATAI SECURITIES (USA), INC. located in New York, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 2011. Philip has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip Au's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2019 - Present
HUATAI SECURITIES (USA), INC.
Office #1: 280 Park Ave 21 Floor East, New York, NY 10017July 20, 2011 - July 30, 2015
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/9/2019)
Exams
Series 79TO
Date: 3/18/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HUATAI SECURITIES (USA), INC.
CRD#: 298809 / SEC#: , 8-70231
Contact information
FINRA licenses (19 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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