Bradford A. Phillips
Professional summary
Bradford Ashley Phillips, who also goes by Brad Phillips, is a registered financial professional 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 Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bradford Ashley Phillips's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 18, 2014 - Present
MIDLAND SECURITIES, LTD
Office #1: 1605 Lbj Freeway, Suite 710 Suite 710, Dallas, TX 75234November 26, 2001 - December 8, 2015
NATALLIANCE SECURITIES, LLC
June 11, 1996 - November 26, 2001
INTERFIRST CAPITAL CORPORATION
December 20, 1988 - July 5, 1989
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/15/2019)
(11/18/2014)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 5/22/2002
Limited Representative-Equity Trader ExamFINRA
Current Firm
MIDLAND SECURITIES, LTD
CRD#: 23736 / SEC#: , 8-40685
Contact information
FINRA licenses (8 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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