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Philip Nussbaum

Board Member at PT Asset Management

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Philip Nussbaum is Board Member of PT Asset Management, LLC, a Chicago investment adviser managing $11.3B. Philip Nussbaum has passed the Series 7, Series 63, Series 24 and SIE.

Role at PT Asset Management

Title on Schedule A
Board Member
Control
Philip Nussbaum is a control person of PT Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Philip Nussbaum has held the filed role since November 2004.

The firm

PT Asset Management, LLC
Chicago, IL

Form ADV filed 31 March 2026

$11.3B AUM4 clients16 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 24 · 1994
  3. Passed Series 7 and Series 63 · 1993

Registrations and exams

No current adviser or broker registration. Philip Nussbaum has passed 4 qualifying exams.

Examinations

Series 6319 February 1993
Name
Uniform Securities Agent State Law Examination
Series 246 July 1994
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 712 February 1993
Name
General Securities Representative Examination

Individual record

Full name
Philip Mark Nussbaum
CRD
2302635
Firm
PT Asset Management, LLC
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Philip Nussbaum work?

Philip Nussbaum has been Board Member of PT Asset Management, LLC since November 2004, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 March 2026

Does Philip Nussbaum have a current investment-adviser registration?

Philip Nussbaum has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Philip Nussbaum passed?

Philip Nussbaum has passed 4 licensing exams: the Series 7, Series 63, Series 24 and SIE. The earliest, the Series 7, was passed in February 1993.

Source: IAPD individual record, checked 17 October 2026

Leadership at PT Asset Management

  • Sean Dranfield
    Chief Executive Officer
  • Steven Hayes
    Chief Financial Officer & Chief Operating Officer
  • Anne Duffy
    Chief Compliance Officer & General Counsel
  • Eric Brown
    Board Member
  • Craig Johnson
    Board Member
  • Ryan Massey
    Board Member
  • George Plaiss
    Senior Portfolio Manager
  • Anthony Harris
    Senior Portfolio Manager

Sources

  1. IAPD individual record, CRD 2302635. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of PT Asset Management, LLC, filed 31 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Philip Nussbaum or PT Asset Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.