Philip J. Straub
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 Straub, who also goes by Phillip Joseph Straub, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1980. Philip had worked at 3 firms and has passed the Series 63, Series 7, Series 1, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 1985 - November 30, 2005
PAN-AMERICAN FINANCIAL ADVISERS
September 23, 1980 - November 8, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
September 23, 1980 - November 8, 1982
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/16/1980
Registered Representative ExaminationCurrent Firm
PAN-AMERICAN FINANCIAL ADVISERS
CRD#: 15578 / SEC#: , 8-32639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAN-AMERICAN LIFE INSURANCE COMPANY | SHAREHOLDER | |
| LAGRONE, DANIEL EVERETT | GENERAL COUNSEL, SECRETARY OF CORPORATION, CHIEF COMPLIANCE OFFICER | 2789525 |
| LEGNON, JR., EDWIN K | FINOP, TREASUER, DIRECTOR | 4092877 |
| MCGUNAGLE, GEORGE FRANCIS | CHAIRMAN OF THE BOARD | 3233721 |
| SCHORR, RACHAEL DELLACCIO | PRESIDENT, CROP, SROP, DIRECTOR | 2128016 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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