Bradford Ashley Phillips
Professional Summary
Bradford Ashley Phillips, who also goes by Brad Phillips, is a registered financial advisor currently at MIDLAND SECURITIES, LTD located in Dallas, Texas. Bradford is registered as a RR (Registered Representative) and started their career in finance in 1988. Bradford has worked at 4 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 3, Series 14, Series 4, Series 53, Series 27 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brad Phillips
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
ANDERSON, CHENEVIERE & CO., LTD | WELLER, ANDERSON, CHENEVIERE & CO., LTD. | WELLER, ANDERSON & CO., LTD. | MIDLAND SECURITIES, LTD
Contact Information
Main Address
1605 Lbj Freeway Suite 710, Dallas, TX 75234Mailing Address
1605 Lbj Freeway Suite 710, Dallas, TX 75234Phone Number
(469) 522-4309Established
Texas since 06/11/1985Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(3/15/2019)
(11/18/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed May 2002SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Bradford Ashley Phillips's CRS (Customer Relationship Summary).
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