Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Au has been a registered representative in the securities industry since 1998. Philip Au is currently a registered representative with Nasdaq Execution Services, LLC and has been in this position since 2006. Philip Au holds a Series 63 license and has also passed the Series 7, Series 9, Series 10, Series 24, Series 30, Series 3, Series 4, Series 55, Series 57TO and SIE exams. Philip Au has also been previously registered with Nasdaq Options Services, LLC, INET ATS, INC., Instinet, LLC, Hold Brothers On-Line Investment Services Inc. and DLJDIRECT INC. Philip Au is registered to conduct business 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
PA
02/01/2006 - Present
Nasdaq Execution Services, LLC (PHILADELPHIA PA)
NY
05/17/2007 - 04/04/2014
NASDAQ OPTIONS SERVICES, LLC (NEW YORK NY)
NJ
05/22/2002 - 02/01/2006
INET ATS, INC. (JERSEY CITY NJ)
NY
02/27/2003 - 06/09/2004
INSTINET, LLC (NEW YORK NY)
NY
02/09/2000 - 06/03/2002
HOLD BROTHERS ON-LINE INVESTMENT SERVICES INC. (NEW YORK NY)
NJ
09/15/1998 - 02/04/2000
DLJDIRECT INC. (JERSEY CITY NJ)
BC
Issued 10/01/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/01/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/26/2001
Series 30 - NFA Branch Manager Examination
BC
Issued 05/21/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/12/2001
Series 24 - General Securities Principal Examination
BC
Issued 06/26/2000
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/2001
Series 3 - National Commodity Futures Examination
BC
Issued 04/03/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/14/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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