Phyllis M. Hollis
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.
Phyllis Madeline Hollis was a registered financial professional .
Phyllis is a previously registered financial professional and started their career in finance in 1983. Phyllis had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 5 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
August 8, 2014 - May 21, 2018
CAVU SECURITIES LLC
August 1, 2013 - April 11, 2014
DREXEL HAMILTON, LLC
October 28, 2010 - July 6, 2012
M. R. BEAL & COMPANY
May 15, 1992 - December 23, 1999
UTENDAHL CAPITAL PARTNERS, L.P.
May 13, 1992 - July 21, 1992
BROADCORT CAPITAL CORP.
August 2, 1988 - April 8, 1992
CITIGROUP GLOBAL MARKETS INC.
February 28, 1986 - August 1, 1988
J.P. MORGAN SECURITIES LLC
September 21, 1983 - March 5, 1986
SALOMON BROTHERS 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
Series 5
Date: 1/18/1984
Interest Rate Options ExaminationCurrent Firm
CAVU SECURITIES LLC
CRD#: 6906 / SEC#: , 8-18428
Contact information
FINRA licenses (51 States and Territories)
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.
