Primary Job Title Chief Compliance Officer Primary Organization TradingBlock
Location Chicago, Illinois, United States Regions Greater Chicago Area, Great Lakes, Midwestern US Gender Male
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Phil has over 20 years in the securities industry with the majority of that time in Compliance and Supervisory roles. Phil started his career on the floors of the CBOT, CME and CBOE in 1991 and ultimately moved into Compliance and Management.
Phil has spent the majority of his career as a Chief Compliance Officer. Some of that time he also
served as a Branch Manager, SROP and CROP. Phil was the Chief Compliance Officer/Branch Manager, at Man Financial (formerly E D & F Man International Inc.) from 1996 to 2003.
In 2003 Phil moved to Allstate Financial Services where he was the Chief Compliance Officer for their retail broker-dealer, which had over 10,000 registered representatives throughout the United States. He left Allstate in 2006 to take over as Chief Compliance Officer for brokersXpress, LLC. and eventually optionsXpress, Inc. until leaving in 2012 to join the TradingBlock team.
Phil has the following securities registrations: Series 4, 7, 8, 14, 24, 27, 55, and 63.
