David 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.
David Phillips, who also goes by Dave Phillips, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2003 - November 8, 2022
INTERVEST INTERNATIONAL EQUITIES CORPORATION
February 12, 2001 - December 20, 2003
GLOBAL-AMERICAN INVESTMENTS, INC.
May 13, 1999 - November 16, 2000
STOCK USA, INC.
July 28, 1994 - October 3, 1997
CASTLE SECURITIES CORP.
July 5, 1994 - June 24, 1998
AQUILA FINANCIAL, INC.
January 24, 1994 - July 26, 1994
REYNOLDS KENDRICK STRATTON, INC.
November 15, 1993 - April 19, 1994
NATIONAL CLEARING CORP.
December 17, 1992 - November 3, 1993
REGENCY CAPITAL GROUP, INC.
January 18, 1989 - July 17, 1989
CAPISTRANO SECURITIES, INC.
December 2, 1987 - November 3, 1992
REYNOLDS KENDRICK STRATTON, INC.
October 29, 1986 - March 23, 1987
BANCAMERICA SECURITIES, INC.
March 25, 1982 - June 5, 1985
THE SEIDLER COMPANIES INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
INTERVEST INTERNATIONAL EQUITIES CORPORATION
CRD#: 20289 / SEC#: , 8-38156
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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