Philip J. Salvia
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 Salvia 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 99TO, SIE, Series 7, Series 14, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 1991 - November 16, 2022
FIRST BROKERS SECURITIES LLC
October 23, 1989 - January 15, 1991
W.A. CAPITAL MARKETS
November 20, 1980 - August 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 1/23/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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