Everett L. 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.
Everett Leon Phillips was a registered financial professional .
Everett is a previously registered financial professional and started their career in finance in 1988. Everett had worked at 6 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
September 20, 2010 - January 12, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
October 1, 2003 - August 6, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 26, 2003 - August 6, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 3, 1992 - June 4, 2003
CITISTREET FINANCIAL SERVICES LLC
March 19, 1991 - June 3, 2003
CITISTREET EQUITIES LLC
August 23, 1988 - March 28, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 23, 1988 - March 28, 1991
OSAIC FA, 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
Exams
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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