Phillip D. Huber
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.
Phillip David Huber was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1997. Phillip had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2009 - February 25, 2019
THE HUTCHISON COMPANY
October 18, 2004 - April 25, 2008
MCKINNON & COMPANY, INC.
October 9, 2000 - June 16, 2004
STERNE, AGEE & LEACH, INC.
August 5, 1997 - September 26, 2000
THE CARSON MEDLIN COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 6/4/2009
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
THE HUTCHISON COMPANY
CRD#: 149422 / SEC#: , 8-68143
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUBER, PHILLIP DAVID | PRESIDENT, CHIEF COMPLIANCE OFFICER, FINOP | 1753541 |
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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