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Philippe J. Theiller

Some features on this profile are disabled
CRD#: 5932630
PT

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.

Philippe Jean-paul Theiller was a registered financial professional .

Philippe is a previously registered financial professional and started their career in finance in 2011. Philippe had worked at 2 firms and has passed the SIE and Series 79 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 4, 2015 - June 19, 2015

TAP SECURITIES LLC

BD
CRD#: 151593
NEW YORK, NY
Past

July 19, 2011 - February 20, 2015

WILLIAM BLAIR

BD
CRD#: 1252
LONDON,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 6/19/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/18/2011
Investment Banking Registered Representative Examination

Current Firm

TS
TAP SECURITIES LLC
TAP SECURITIES LLC

CRD#: 151593 / SEC#: , 8-68381

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

Main Address
505 Park Avenue Fl 9, New York, NY 10022
Mailing Address
505 Park Avenue Fl 9, New York, NY 10022
Phone number
(212) 909-9009
Established
Delaware since 06/16/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TAP ADVISORS LLCMANAGING MEMBER
SPINDEL, HOWARDFINOP708042
TABET, KARIM FOUADCO-CEO AND TREASURER1994831
TERRY, FREDERICK DAVIS JRAMLCO, CO-CEO, SECRETARY AND CHIEF COMPLIANCE OFFICER717165

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

TAP SECURITIES LLC

CRD#: 151593

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