Richard A. 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.
Richard A Phillips, who also goes by Richard Alan Phillips, Richard Phillips, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 9 firms and has passed the Series 63, Series 79TO, Series 72, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2021 - September 2, 2026
MESIROW FINANCIAL, INC.
July 30, 2019 - September 27, 2021
ODEON CAPITAL GROUP LLC
November 28, 2016 - May 5, 2017
MORGAN STANLEY & CO. LLC
March 2, 2011 - October 10, 2017
MORGAN STANLEY
April 2, 2007 - February 7, 2013
MORGAN STANLEY & CO. LLC
January 31, 1996 - April 2, 2007
MORGAN STANLEY DW INC.
September 30, 1993 - July 13, 1995
DEUTSCHE BANK SECURITIES INC.
January 19, 1993 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
September 5, 1991 - September 30, 1993
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
May 8, 1989 - August 23, 1991
J.P. MORGAN SECURITIES 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
What does exam status mean?
Series 79TO
Passed: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
MESIROW FINANCIAL, INC.
CRD#: 2764 / SEC#: , 8-28816
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | CFO | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| SHIELDS, JAMES | CHIEF COMPLIANCE OFFICER | 2927398 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
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.
