James R. 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 Roark Phillips JR, who also goes by James Roark (jr) Phillips, Jim Phillips Jr, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 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
March 28, 2008 - September 29, 2008
GUNNALLEN FINANCIAL, INC
June 24, 2004 - September 29, 2008
GUNNALLEN FINANCIAL, INC
July 1, 2002 - July 14, 2004
OXFORD FINANCIAL GROUP
May 21, 1999 - August 22, 2002
CONSORTIUM INVESTMENTS, LTD.
December 10, 1993 - March 15, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 29, 1990 - November 29, 1993
A. G. EDWARDS & SONS, INC.
May 14, 1988 - April 18, 1990
LEHMAN BROTHERS INC.
July 30, 1984 - May 14, 1988
E. F. HUTTON & COMPANY 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
