MP
Michael A. Phillips
FHN FINANCIAL SECURITIES
Syosset, NY 11791
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CRD#: 1602741
MP
Professional summary
Michael Andrew Phillips is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Syosset, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 5 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Andrew Phillips's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 27, 2001 - Present
FHN FINANCIAL SECURITIES CORP.
Office #1: 33 Queens Street Suite 302, Syosset, NY 11791BD
CRD#: 46346
Syosset, NY
Past
January 29, 2001 - February 16, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
September 27, 1996 - February 5, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
July 1, 1993 - October 1, 1996
DINNER KEY ADVISORS INCORPORATED
BD
CRD#: 30069
Past
September 20, 1988 - July 15, 1989
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/24/2014)
RR
California(7/29/2004)
RR
Colorado(1/24/2014)
RR
Connecticut(6/27/2017)
RR
Delaware(6/19/2018)
RR
District of Columbia(9/21/2022)
RR
Florida(10/1/2009)
RR
Georgia(2/27/2001)
RR
Illinois(4/17/2014)
RR
Indiana(5/23/2016)
RR
Iowa(1/24/2014)
RR
Kansas(2/27/2001)
RR
Kentucky(1/2/2018)
RR
Louisiana(3/6/2025)
RR
Maryland(1/24/2014)
RR
Massachusetts(2/27/2001)
RR
Michigan(1/24/2014)
RR
Minnesota(2/28/2001)
RR
Missouri(10/14/2011)
RR
Montana(9/27/2017)
RR
Nevada(2/27/2001)
RR
New Jersey(1/16/2020)
RR
New York(2/27/2001)
RR
North Carolina(6/17/2009)
RR
Ohio(8/8/2017)
RR
Oklahoma(3/28/2018)
RR
Pennsylvania(11/30/2017)
RR
Tennessee(2/28/2001)
RR
Texas(2/27/2001)
RR
Utah(1/26/2009)
RR
Virginia(2/28/2001)
RR
Wisconsin(7/14/2009)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/22/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FHN FINANCIAL SECURITIES CORP.
FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Mailing Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Phone number
(901) 435-8080
Established
Tennessee since 10/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
