Michael J. 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.
Michael Joe Phillips, who also goes by Mike Phillips, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2020 - August 17, 2022
TSG ADVICE PARTNERS, LLC
September 12, 1999 - November 13, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
December 24, 1996 - July 3, 2006
IDS LIFE INSURANCE COMPANY
December 24, 1996 - November 13, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
September 7, 1983 - November 5, 1984
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
TSG ADVICE PARTNERS, LLC
CRD#: 305999 / SEC#: 801-117566
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
TSG ADVICE PARTNERS, LLC
CRD#: 305999 / SEC#: 801-117566
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,410 |
| AUM (Assets Under Management) | $ 762,215,226 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
