Randy D. Phillips
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Randy Dean Phillips was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1981. Randy had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2020 - December 8, 2021
PHILLIPS INVESTMENTS LLC
October 18, 2019 - February 7, 2020
ROBERT W. BAIRD & CO. INCORPORATED
October 18, 2019 - February 7, 2020
ROBERT W. BAIRD & CO. INCORPORATED
August 26, 2005 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
July 19, 2005 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
August 23, 2004 - December 31, 2005
PHILLIPS INVESTMENT COUNSEL LLC
May 28, 2004 - July 21, 2004
HABERER REGISTERED INVESTMENT ADVISOR INC
September 4, 2003 - June 7, 2004
THE RETIREMENT CORPORATION OF AMERICA
July 20, 1994 - November 29, 2000
KEYBANC CAPITAL MARKETS INC.
December 8, 1982 - December 12, 1990
CITY SECURITIES CORPORATION
July 29, 1981 - December 16, 1982
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
PHILLIPS INVESTMENTS LLC
CRD#: 309491 / SEC#:
Contact information
Red Flags
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