Phillip S. Yager
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.
Phillip Scott Yager, who also goes by Phil Yager, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1982. Phillip had worked at 4 firms and has passed the Series 63, Series 55, Series 7, Series 6 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2006 - May 27, 2014
GOELZER INVESTMENT MANAGEMENT
October 24, 1996 - November 8, 2005
NATCITY INVESTMENTS, INC.
May 31, 1985 - October 15, 1996
CITY SECURITIES CORPORATION
June 21, 1982 - June 20, 1983
PLANNED INVESTMENT CO., INC.
Primary Firm SEC Registration
GOELZER INVESTMENT MANAGEMENT
CRD#: 44402 / SEC#: 801-55588, 8-50682
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 55
Date: 7/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
GOELZER INVESTMENT MANAGEMENT
CRD#: 44402 / SEC#: 801-55588, 8-50682
Contact information
SEC notice filing (21 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FREIHOFER, LISA GOELZER | OWNER | |
| GOELZER, GREGORY WILLIAM | VICE CHAIRMAN AND CEO | 1040238 |
| GOELZER, SANDRA KAY | OWNER | |
| JOAN B GOELZER CREDIT SHELTER TR U/A DTD 1-17-1991 | OWNER | |
| MCKAMEY, BRETT DEAN | PRESIDENT AND COO | 1706545 |
| CONCANNON, JAMES ANDREW | OWNER | 1722214 |
| GOELZER EMPLOYEE STOCK OWNERSHIP PLAN | OWNER | |
| SMITH, NEAL ANDREW | OWNER | 2168145 |
| BUSH, JEFFREY ADAM | CHIEF COMPLIANCE OFFICER | 6157908 |
| RYNERSON, DEBRA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1741218 |
Regulatory assets under management
| Total Number of Accounts | 877 |
| AUM (Assets Under Management) | $ 3,846,550,007 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
