David 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.
David Marion Phillips III was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 6 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 1992 - October 1, 1993
CAMBRIDGE FINANCIAL CORPORATION
March 15, 1991 - January 15, 1992
TOUCHSTONE CAPITAL CORPORATION
July 13, 1988 - November 8, 1989
TEXAKOMA FINANCIAL, INC.
September 8, 1987 - August 6, 1988
UBS FINANCIAL SERVICES INC.
June 25, 1986 - September 8, 1987
RAUSCHER PIERCE REFSNES, INC.
December 28, 1984 - July 2, 1985
SOUTH CENTRAL SECURITIES, 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
CAMBRIDGE FINANCIAL CORPORATION
CRD#: 28258 / SEC#: , 8-43341
Contact information
Documents
Red Flags
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