Phillip S. Barnett
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.
Phillip Steven Barnett, who also goes by Phil Barnett, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1991. Phillip had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, 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
April 16, 2018 - January 8, 2025
EAST WIND SECURITIES, LLC
November 10, 2014 - October 31, 2016
BA SECURITIES, LLC
January 2, 2009 - October 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 2008 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
January 2, 1991 - July 28, 2008
MORGAN STANLEY & CO. LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
EAST WIND SECURITIES, LLC
CRD#: 148032 / SEC#: , 8-67955
Contact information
FINRA licenses (12 States and Territories)
Red Flags
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