Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Edwin Garrubbo is a financial advisor registered with Daiwa Capital Markets America Inc. Philip has over 30 years of experience in the industry, starting in 1990. Philip has held positions with a number of firms over the years, including Mizuho Securities USA LLC, J.P. Morgan Securities Inc., Bear, Stearns & Co. Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Philip holds a number of licenses and certifications, including the Series 3, 7, 10, 9, 23, 24, and 63 exams. Philip is registered in 16 states across the United States.
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.
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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2
NY
02/05/2024 - Present
Daiwa Capital Markets America Inc. (NEW YORK NY)
NY
04/06/2009 - 11/14/2023
MIZUHO SECURITIES USA LLC (NEW YORK NY)
NY
10/01/2008 - 04/16/2009
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
05/15/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
03/22/2002 - 05/21/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
09/20/1990 - 01/23/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 10/05/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/21/2011
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 04/25/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/09/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1990
Series 3 - National Commodity Futures Examination
BC
Issued 09/15/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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