Donald B. 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.
Donald Brent Phillips, who also goes by Donald Brent Phillips Jr, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1982. Donald had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2012 - March 26, 2018
PORTSMOUTH FINANCIAL SERVICES
May 29, 2012 - September 28, 2012
EAST / WEST SECURITIES CORP.
December 10, 2009 - April 14, 2018
SAIGON CAPITAL MARKETS LLC
June 6, 2008 - September 10, 2012
1ST DISCOUNT BROKERAGE, INC.
August 21, 2002 - September 10, 2012
1ST DISCOUNT BROKERAGE, INC.
January 3, 1989 - August 21, 2002
ACUMENT SECURITIES, INC.
October 1, 1985 - January 3, 1989
MCCLURG CAPITAL CORPORATION
June 21, 1983 - September 19, 1985
BIRR, WILSON & CO., INC.
May 23, 1983 - April 1, 1985
BIRR, WILSON & CO., INC.
May 24, 1982 - May 6, 1983
JUDY & ROBINSON SECURITIES, INC
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
Current Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
