MARY T. 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.
MARY THERESE PHILLIPS, who also goes by Mary Therese Galfano, Mary Galfano Phillips, Mary Theresa Phillips, was a registered financial professional .
MARY is a previously registered financial professional and started their career in finance in 1983. MARY had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2021 - July 3, 2025
CREATIVE PLANNING
May 17, 2013 - October 15, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 17, 2013 - October 15, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - June 13, 2013
MORGAN STANLEY
June 1, 2009 - June 13, 2013
MORGAN STANLEY
March 22, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 17, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 23, 1983 - May 18, 2004
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CREATIVE PLANNING
CRD#: 105348 / SEC#: 801-18564
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 8
Date: 8/16/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREATIVE PLANNING
CRD#: 105348 / SEC#: 801-18564
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 269,686 |
| AUM (Assets Under Management) | $ 217,399,324,981 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/27/2025 | ||
| 09/19/2024 | ||
| 01/03/2024 | ||
| 01/18/2023 |
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.
