Richard A. Phillips
Professional summary
Richard A Phillips, who also goes by Richard Alan Phillips, Richard Phillips, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 9 firms and has passed the Series 63, Series 79TO, Series 72, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard A Phillips's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2021 - Present
MESIROW FINANCIAL, INC.
Office #1: 140 East 45 Street Suite 31(b), New York, NY 10017July 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
(1/4/2022)
(6/3/2022)
(11/1/2021)
(7/21/2022)
(12/8/2021)
(11/1/2021)
(1/4/2022)
(5/8/2023)
(12/20/2021)
(12/16/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current 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 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
Red Flags
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