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Philip Alan Auerbach

ADP Broker-Dealer, Inc.

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About Philip Alan Auerbach

Philip Alan Auerbach is a registered representative with ADP Broker-Dealer, Inc. Philip has over 20 years of experience in the securities industry. Prior to joining ADP Broker-Dealer, Inc., Philip worked at Equity Services, Inc., Bankers Life Securities, Inc., Wunderlich Securities, Inc., Jesup & Lamont Securities Corp and Financial Northeastern Securities, Inc. Philip has passed the Series 7, Series 63, Series 21, Series 25, and SIE exams. Philip is registered to sell securities in 51 states and the District of Columbia.

Firm Information

Philip Auerbach is currently registered with ADP Broker-Dealer, Inc.. ADP Broker-Dealer, Inc. is a corporation formed in July 1994. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Virgin Islands, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

755

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Philip Auerbach’s Registration & Firm History

NJ

03/05/2024 - Present

ADP Broker-Dealer, Inc. (FLORHAM PARK NJ)

NJ

02/03/2021 - 02/29/2024

EQUITY SERVICES, INC. (RED BANK NJ)

NJ

12/17/2016 - 02/09/2021

BANKERS LIFE SECURITIES, INC. (PARSIPPANY NJ)

NJ

07/19/2010 - 03/02/2016

WUNDERLICH SECURITIES, INC. (PARSIPPANY NJ)

NJ

11/14/2008 - 07/15/2010

JESUP & LAMONT SECURITIES CORP (PARSIPPANY NJ)

NJ

01/29/2008 - 12/08/2008

FINANCIAL NORTHEASTERN SECURITIES, INC. (FAIRFIELD NJ)

NY

06/05/2000 - 07/22/2005

VAN DER MOOLEN SPECIALISTS USA, LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 05/29/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/27/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/28/2008

Series 7 - General Securities Representative Examination

BC

Issued 08/20/2002

Series 21 - NYSE Front Line Specialist Clerk

BC

Issued 10/17/2000

Series 25 - NYSE Trading Assistant Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Philip Alan Auerbach.
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