Jimmy D. 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.
Jimmy Dale Phillips was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1985. Jimmy had worked at 7 firms and has passed the Series 65, Series 63, 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
January 22, 1996 - June 22, 2018
FIRST INVESTMENT CORPORATION
March 27, 1991 - May 29, 2018
DOMINION INVESTOR SERVICES, INC.
February 1, 1989 - December 31, 1990
T.L. REED SECURITIES, INC.
March 1, 1988 - February 1, 1989
SOURCE SECURITIES, INC.
May 15, 1987 - March 8, 1988
SECURITIES NETWORK, INC.
September 27, 1985 - May 15, 1987
UAN INVESTMENT CORP.
March 20, 1985 - September 25, 1985
CETERA WEALTH SERVICES, 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
Current Firm
FIRST INVESTMENT CORPORATION
CRD#: 110972 / SEC#: 801-24481
Contact information
Regulatory assets under management
| Total Number of Accounts | 356 |
| AUM (Assets Under Management) | $ 63,766,144 |
Red Flags
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