Carol 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.
Carol Phillips was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1986. Carol had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2006 - June 30, 2008
NATIONAL SECURITIES CORPORATION
March 19, 2004 - November 3, 2006
SUMMIT BROKERAGE SERVICES, INC.
January 2, 2001 - March 16, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 27, 1998 - January 2, 2001
JWGENESIS SECURITIES, INC.
July 6, 1994 - September 25, 1998
JOSEPHTHAL & CO., INC.
June 21, 1994 - July 14, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 29, 1990 - June 21, 1994
JOSEPHTHAL & CO., INC.
November 13, 1989 - December 21, 1989
J F LOWE & COMPANY INCORPORATED
June 28, 1989 - April 16, 1990
WILLIAM M. CADDEN & CO., INC.
November 29, 1988 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
October 16, 1987 - December 19, 1988
LOWELL H. LISTROM & COMPANY INC.
December 26, 1986 - August 1, 1987
B.C. CHRISTOPHER SECURITIES CO.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
