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KP

Keith D. Phillips

Some features on this profile are disabled
CRD#: 1588489
KP

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.

Keith Douglas Phillips was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 1989. Keith had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 10, 2017 - November 2, 2017

BENTLEY SECURITIES CORPORATION

BD
CRD#: 25759
NEW YORK, NY
Past

October 5, 2015 - December 6, 2016

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

May 8, 2013 - September 16, 2015

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

September 2, 2008 - May 30, 2013

COWEN SECURITIES LLC

BD
CRD#: 23510
NEW YORK, NY
Past

August 7, 2006 - June 13, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

April 2, 2003 - August 4, 2006

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

March 14, 1997 - March 3, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 26, 1994 - January 28, 1997

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

June 4, 1991 - April 15, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

October 18, 1989 - September 11, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/10/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/2/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/28/1998
General Securities Principal Examination

Current Firm

BS
BENTLEY SECURITIES CORPORATION
BENTLEY SECURITIES CORPORATION | CHARTERHOUSE MEDIA GROUP SECURITIES, INC.

CRD#: 25759 / SEC#: , 8-41879

BD
Terminated by SEC on 12/09/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/28/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CROMWELL, OLIVER DEANPRESIDENT AND CHIEF COMPLIANCE OFFICER838160

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BENTLEY SECURITIES CORPORATION

CRD#: 25759

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