Sara J. Phillips
Professional summary
Sara Jane Phillips, who also goes by Sara Jane Macadam, is a registered financial professional currently at PERSHING LLC located in Oakbrook Terrace, Illinois and PERSHING ADVISOR SOLUTIONS LLC located in Oakbrook Terrace, Illinois.
Sara is registered as a RR (Registered Representative) and started their career in finance in 1985. Sara has worked at 7 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 12, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sara Jane Phillips's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2008 - Present
PERSHING LLC
Office #1: Two Mid America Plaza 10th Floor, Oakbrook Terrace, IL, 60181June 7, 2022 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: Two Mid America Plaza 10th Floor, Oakbrook Terrace, IL, 60181September 27, 2005 - June 25, 2008
OLD SLIP CAPITAL MANAGEMENT, INC.
November 1, 2004 - December 17, 2004
GLEACHER & COMPANY SECURITIES, INC.
August 1, 1999 - January 2, 2003
CONNING & COMPANY
February 14, 1990 - August 28, 1999
NODDINGS AND ASSOCIATES, INC.
July 24, 1985 - January 15, 1990
UNIFIED FINANCIAL SECURITIES, 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
(7/17/2008)
(9/11/2018)
Exams
Series 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 12
Date: 3/3/2003
NYSE Branch Manager ExaminationBOX Exchange LLC
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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