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Philip T. Marx

RB INTERNATIONAL MARKETS (USA) LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 6485135
PM

Professional summary

Philip Timo Rudolf Marx is a registered financial professional currently at RB INTERNATIONAL MARKETS (USA) LLC located in New York, New York.

Philip is registered as a RR (Registered Representative) and started their career in finance in 2015. Philip has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 79, Series 14 and Series 24 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 Timo Rudolf Marx'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

May 15, 2015 - Present

RB INTERNATIONAL MARKETS (USA) LLC

Office #1: 1177 Ave. Of The Americas 5th Floor, New York, NY, 10036Office #2: 1177 Ave. Of The Americas 5th Floor, New York, NY 10036
BD
CRD#: 156031
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
Colorado
(6/26/2019)
RR
Connecticut
(10/20/2015)
RR
Kansas
(6/26/2019)
RR
Michigan
(6/26/2019)
RR
New Jersey
(2/10/2017)
RR
New Mexico
(6/4/2019)
RR
New York
(5/15/2015)
RR
Utah
(11/9/2017)
RR
Wisconsin
(4/19/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 2/26/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 5/15/2015
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/4/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RB INTERNATIONAL MARKETS (USA) LLC
RB INTERNATIONAL MARKETS (USA) LLC

CRD#: 156031 / SEC#: , 8-68761

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

Main Address
1177 Ave. Of The Americas 5th Floor, New York, NY, 10036
Mailing Address
1177 Ave. Of The Americas 5th Floor, New York, NY, 10036
Phone number
(212) 600-2588
Established
Delaware since 11/24/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RAIFFEISEN BANK INTERNATIONAL AGSOLE MEMBER
GABRIELE, STEFANMANAGER, CEO5879406
GRIMM, LINDA STEINMANNFINOP, CFO1970620
MARX, PHILIP TIMO RUDOLFEXECUTIVE DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER6485135

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

RB INTERNATIONAL MARKETS (USA) LLC

CRD#: 156031New York, NY 10036

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