Norman E. 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.
Norman Egerton Phillips, who also goes by Norman E Phillips, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1985. Norman had worked at 8 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
February 8, 1991 - September 30, 1991
BARRETT DAY SECURITIES, INC.
April 24, 1990 - October 4, 1990
FIRST EAGLE, INC.
July 3, 1989 - February 22, 1990
BRENNAN ROSS SECURITIES, INC.
May 13, 1988 - October 4, 1989
THE WELLINGTON GROUP, INC.
June 17, 1987 - August 24, 1987
VANDERBILT SECURITIES, INC.
August 27, 1986 - December 5, 1986
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
July 17, 1986 - September 19, 1986
BROOKS WEINGER ROBBINS & LEEDS INC.
July 17, 1985 - January 29, 1986
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BARRETT DAY SECURITIES, INC.
CRD#: 17717 / SEC#: , 8-35665
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
