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PHILIP DAVID KRAUSS
CRD#: 862992
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 WESTHAMPTON, NY
CETERA ADVISOR NETWORKS LLCCRD#: 13572 WESTHAMPTON, NY
Registration History
19801985199019952000200520102015202020252 FIRMS2002 - 2002 (<1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - Present (3 years)BVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2007 - 2021 (14 years)BRYAN BECK & CO. (CRD# 3248)2002 - 2007 (5 years)BTUCKER ANTHONY INCORPORATED (CRD# 837)1991 - 2001 (10 years)BMABON, NUGENT & CO. (CRD# 2617)1990 - 1991 (<1 year)BALEX. BROWN & SONS INCORPORATED (CRD# 20)1989 - 1990 (<1 year)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1987 - 1989 (1 year)BL. F. ROTHSCHILD & CO. INCORPO... (CRD# 501)1987 - 1987 (<1 year)BMATTHEWS & WRIGHT CAPITAL, INC. (CRD# 10939)1985 - 1987 (2 years)BMATTHEWS & WRIGHT, INC. (CRD# 7025)1979 - 1987 (8 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - 2023 (1 year)
Disclosure(s)
View By:
5/18/2006
Customer Dispute
Settled
License(s)

State Registrations

B
California 6/9/2021

B
New Mexico 6/9/2021

B
Florida 6/10/2021

B
New York 6/9/2021

B
New Jersey 6/9/2021

IA
New York 6/29/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
WESTHAMPTON, NY
Registered with this firm since 6/29/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
WESTHAMPTON, NY
Registered with this firm since 6/9/2021

Previous Registration(s)
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IA
08/25/2021 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
B
06/28/2007 - 06/09/2021 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) WESTHAMPTON, NY
B
04/29/2002 - 07/06/2007 RYAN BECK & CO. (CRD#:3248) UNIONDALE, NY
B
03/11/2002 - 05/13/2002 GRUNTAL & CO., L.L.C. (CRD#:372) NEW YORK, NY
B
01/04/2002 - 04/04/2002 ADVEST, INC. (CRD#:10) HARTFORD, CT
B
04/24/1991 - 11/09/2001 TUCKER ANTHONY INCORPORATED (CRD#:837) BOSTON, MA
B
05/21/1990 - 04/29/1991 MABON, NUGENT & CO. (CRD#:2617)
B
08/01/1989 - 05/21/1990 ALEX. BROWN & SONS INCORPORATED (CRD#:20)
B
12/09/1987 - 08/03/1989 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
B
09/02/1987 - 11/05/1987 L. F. ROTHSCHILD & CO. INCORPORATED (CRD#:501)
B
03/05/1985 - 09/16/1987 MATTHEWS & WRIGHT CAPITAL, INC. (CRD#:10939)
B
03/07/1979 - 09/16/1987 MATTHEWS & WRIGHT, INC. (CRD#:7025)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.