Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Rio has been in the financial services industry since January 14, 1994. Philip is currently registered with Nylife Distributors LLC. Philip holds Series 7, 55, 63, and 65 licenses as well as the SIE exam. Philip has previously been registered with Chase Securities Inc., PaineWebber Incorporated, and Mitchell Hutchins Asset Management Inc. Philip is a registered representative in New York.
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.
1
2
NY
06/18/2001 - Present
Nylife Distributors LLC (NEW YORK NY)
NY
01/02/2000 - 02/06/2001
CHASE SECURITIES INC. (NEW YORK NY)
NJ
04/18/1989 - 08/13/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/26/1993 - 01/11/1995
MITCHELL HUTCHINS ASSET MANAGEMENT INC. (NEW YORK NY)
BC
Issued 01/07/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/14/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/21/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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