Phillip D. Meserve
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.
Phillip Duane Meserve, who also goes by Phil Meserve, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1986. Phillip had worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2019 - December 31, 2024
PREP SECURITIES, LLC
February 5, 2015 - April 2, 2020
CR CAPITAL DISTRIBUTORS, LLC
March 2, 2011 - December 2, 2019
STIRA CAPITAL MARKETS GROUP, LLC
June 9, 2010 - February 7, 2011
EQUITABLE ADVISORS, LLC
November 1, 2005 - February 2, 2011
EQUITABLE DISTRIBUTORS, LLC
March 1, 2004 - October 26, 2005
TBG FINANCIAL
August 30, 2000 - July 3, 2002
METLIFE INVESTORS DISTRIBUTION COMPANY
June 9, 1998 - December 31, 1998
OLD MUTUAL INVESTMENT PARTNERS
June 17, 1997 - April 24, 1998
INVESTORS BROKERAGE SERVICES, INC.
August 2, 1996 - April 2, 1997
EQUITABLE DISTRIBUTORS, LLC
June 24, 1992 - April 7, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
April 11, 1991 - May 4, 1992
MONARCH SECURITIES, INC.
February 25, 1991 - June 4, 1991
MONARCH FINANCIAL SERVICES, INC.
January 9, 1990 - December 31, 1990
ABI SECURITIES, INC.
February 19, 1986 - January 8, 1991
COREBRIDGE CAPITAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PREP SECURITIES, LLC
CRD#: 188522 / SEC#: , 8-69611
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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