James M. 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.
James Michael Phillips, who also goes by Mike Phillips, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 12 firms and has passed the Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2009 - February 15, 2013
THE O.N. EQUITY SALES COMPANY
March 28, 2008 - January 2, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 19, 2007 - March 27, 2008
B. RILEY WEALTH MANAGEMENT
May 16, 2006 - May 1, 2007
UNITED EQUITY SECURITIES, LLC
September 5, 2002 - December 31, 2005
UNITED SECURITIES ALLIANCE, INC.
April 12, 2002 - August 9, 2002
WORLD GROUP SECURITIES, INC.
May 8, 1997 - April 12, 2002
WMA SECURITIES, INC.
May 12, 1995 - November 22, 1996
SUNAMERICA SECURITIES, INC.
January 13, 1988 - March 2, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
January 13, 1988 - March 4, 1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 13, 1988 - March 4, 1988
OSAIC FA, INC.
October 19, 1983 - June 5, 1995
MONEY CONCEPTS CAPITAL CORP
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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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