Phillip A. Hudson
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 Allen Hudson, who also goes by Phil Hudson, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1989. Phillip had worked at 6 firms and has passed the Series 63, Series 7, Series 6 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
February 28, 1994 - September 11, 1996
A. G. EDWARDS & SONS, INC.
August 7, 1992 - March 9, 1994
LPL FINANCIAL LLC
April 1, 1991 - July 29, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 9, 1990 - April 1, 1991
PW SECURITIES, INC.
January 25, 1990 - September 24, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 25, 1990 - September 24, 1990
EQUITABLE ADVISORS, LLC
October 31, 1989 - January 31, 1990
PW SECURITIES, INC.
June 5, 1989 - November 8, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 5, 1989 - November 8, 1989
EQUITABLE ADVISORS, LLC
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
A. G. EDWARDS & SONS, INC.
CRD#: 4 / SEC#: , 8-13580
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.G. EDWARDS, INC. | HOLDING COMPANY | |
| ATKIN, MARY MARGARET | DIRECTOR, EXECUTIVE VICE PRESIDENT | 863962 |
| BAGBY, ROBERT LEE | CHAIRMAN OF BOARD OF DIRECTORS | 9985 |
| BIEBEL, PETER ALAN | SENIOR REGISTERED OPTIONS PRINCIPAL | 722143 |
| GRUMKE, CLAY LEONARD | CHIEF LEGAL COUNSEL, VICE PRESIDENT | 2199350 |
| HOPKINS, DAVID RICHARD | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | 4802877 |
| KELLY, DOUGLAS LAIRD | CORPORATE SECRETARY, DIRECTOR, EXECUTIVE VP; CHIEF OPERATING OF | 2428802 |
| LUDEMAN, DANIEL JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 874126 |
| MAHAT, MARC ALAN | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 1967091 |
| UNDERWOOD, BRIAN CLINTON | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | 1229168 |
Disclosures
| Regulatory Event | 77 |
| Arbitration | 265 |
| Bond | 3 |
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.
