John M. 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.
John Macdonald Phillips was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 8 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
October 26, 2021 - April 29, 2022
BTIG, LLC
April 1, 2020 - October 19, 2021
IMPERIAL CAPITAL, LLC
August 22, 2012 - September 3, 2019
SEAPORT GLOBAL SECURITIES LLC
May 3, 2012 - July 17, 2012
STORMHARBOUR SECURITIES LP
June 1, 2011 - January 26, 2012
NEWEDGE USA, LLC
October 4, 2010 - November 8, 2010
INTL FCSTONE CREDIT TRADING LLC
September 8, 2009 - August 17, 2010
BTIG, LLC
May 29, 2008 - July 8, 2009
CANTOR FITZGERALD & CO.
October 28, 2004 - June 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2003 - June 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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