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Philip Au

HUATAI SECURITIES (USA)
New York, NY 10017
Some features on this profile are disabled
CRD#: 5897770
PA

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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Au's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 10, 2019 - Present

HUATAI SECURITIES (USA), INC.

Office #1: 280 Park Ave 21 Floor East, New York, NY 10017
BD
CRD#: 298809
New York, NY
Past

July 20, 2011 - July 30, 2015

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/9/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/27/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/18/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/30/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/19/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HUATAI SECURITIES (USA), INC.
HUATAI SECURITIES (USA), INC.

CRD#: 298809 / SEC#: , 8-70231

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
280 Park Ave 21 Floor East, New York, NY 10017
Mailing Address
280 Park Ave 21 Floor East, New York, NY 10017
Phone number
(212) 763-8180
Established
Delaware since 08/24/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HUATAI SECURITIES USA HOLDINGS, INC.SOLE SHAREHOLDER
LIN, BRYAN DAWEICHIEF EXECUTIVE OFFICER/DIRECTOR2923067
MAO, SANDRA YUAN-SANCHIEF COMPLIANCE OFFICER4318909
RUTITSKIY, DMITRIYFINOP6117665
SUN, YINGBOARD MEMBER7026572
WANG, CHONGBOARD MEMBER7030757
WANG, LEIBOARD MEMBER7078240

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.

Company Information

HUATAI SECURITIES (USA), INC.

CRD#: 298809New York, NY 10017

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