Philip J. Erard
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.
Philip Joseph Erard was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1966. Philip had worked at 5 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1986 - September 29, 1995
SCHRODER & CO. INC.
February 10, 1978 - October 8, 1986
WERTHEIM & CO.
November 29, 1977 - February 18, 1978
SCHRODER & CO. INC.
January 4, 1977 - December 30, 1977
LOEB RHOADES & CO. INC.
December 9, 1966 - January 4, 1977
LOEB, RHOADES & CO. INC.
June 14, 1966 - May 6, 1977
LOEB, RHOADES & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 7/13/1978
AMEX Put and Call ExamSeries 1
Date: 4/10/1959
Registered Representative ExaminationSeries 40
Date: 8/12/1971
Registered Principal ExaminationCurrent Firm
SCHRODER & CO. INC.
CRD#: 6112 / SEC#: , 8-16918
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 25 |
Red Flags
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