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TP

Todd W. Phillips

DWS DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 1701980
TP

Professional summary

Todd William Phillips is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in New York, New York.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1991. Todd has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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) - BD

Click below to view Todd William 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®
None

Experience

Current

June 24, 2010 - Present

DWS DISTRIBUTORS, INC.

Office #1: 875 Third Avenue, New York, NY 10022
BD
CRD#: 37306
New York, NY
Past

September 5, 2008 - December 31, 2009

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
NEW YORK, NY
Past

January 10, 2005 - October 27, 2006

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
FREEPORT, NY
Past

January 5, 2005 - October 27, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
FREEPORT, NY
Past

December 11, 1991 - January 29, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
New York
(6/24/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/12/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/26/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/10/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.

CRD#: 37306 / SEC#: , 8-47765

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DWS INVESTMENT MANAGEMENT AMERICAS , INC.SHAREHOLDER
ABBOTT, KEVIN SCHIEF OPERATING OFFICER4210778
BALUYOT, RHEEZA RAMOSCHIEF FINANCIAL OFFICER8028310
CHELEL, NICOLE M.CHIEF COMPLIANCE OFFICER4748490
IKUSS, AMANDA JEANVICE PRESIDENT & DIRECTOR6602098
MAUTE, BRIAN CCHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT2929953
REUTER, MICHELLE SVICE PRESIDENT6572669
SHIELDS, JOHN POWELL JRDIRECTOR & VICE PRESIDENT1950330
WILCZEWSKI, JOEL JOHNVICE PRESIDENT2815498

Disclosures

Regulatory Event5
Arbitration1

Red Flags

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

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Company Information

DWS DISTRIBUTORS, INC.

CRD#: 37306New York, NY 10022

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