John B. Phillips
Professional summary
John Ballou Phillips, who also goes by John Ballou Phillips Jr, is a registered financial professional currently at BENTLEY SECURITIES CORPORATION located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1995. John has worked at 5 firms and has passed the Series 63, SIE 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
April 26, 2018 - Present
BENTLEY SECURITIES CORPORATION
Office #1: 437 Madison Avenue 24th Floor, New York, NY 10022October 10, 2013 - February 28, 2017
OPPENHEIMER & CO. INC.
May 27, 2005 - May 29, 2013
BMO CAPITAL MARKETS CORP.
May 17, 1999 - March 21, 2006
BENTLEY SECURITIES CORPORATION
November 26, 1996 - March 9, 1998
UBS FINANCIAL SERVICES INC.
February 22, 1995 - August 20, 1996
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
BENTLEY SECURITIES CORPORATION
CRD#: 25759 / SEC#: , 8-41879
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROMWELL, OLIVER DEAN | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 838160 |
Red Flags
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