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Phillip J. Milligan

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CRD#: 1874103
PM

Professional summary

Phillip John Milligan was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Phillip is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Phillip had worked at 3 firms, which includes QUANTUM GROUP LTD., BARRON CHASE SECURITIES INC., INVESTORS ASSOCIATES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Phillip Milligan | John Milligan

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 8, 1994 - August 12, 1997

QUANTUM GROUP, LTD.

BD
CRD#: 33615
SLOATSBURG, NY
Past

May 22, 1991 - December 31, 1993

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

April 1, 1991 - April 29, 1991

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/7/1991
General Securities Principal Examination

Current Firm

QG
QUANTUM GROUP, LTD.
J.P. MILLIGAN, INC. | TIGER SECURITIES CORP. | QUANTUM GROUP, LTD.

CRD#: 33615 / SEC#: , 8-46113

BD
Cancelled by SEC on 01/26/1999
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/19/1993
Firm type
Corporation
Fiscal year end
February
# of Employees

Documents

Red Flags

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.

Company Information

QUANTUM GROUP, LTD.

CRD#: 33615

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