Phil D. Bautz
Professional summary
Phil David Bautz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Phil is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Phil had worked at 3 firms, which includes AMERICAN BEACON PARTNERS INC., PINNACLE HOLDINGS CORPORATION, FIRST AFFILIATED SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 1991 - July 3, 2002
AMERICAN BEACON PARTNERS, INC.
May 18, 1987 - November 14, 1991
PINNACLE HOLDINGS CORPORATION
June 22, 1983 - May 20, 1987
FIRST AFFILIATED 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
AMERICAN BEACON PARTNERS, INC.
CRD#: 15791 / SEC#: , 8-32709
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
