Anthony P. 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.
Anthony Paul Phillips, who also goes by Anthony Phillips, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2003. Anthony had worked at 4 firms and has passed the Series 66, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2019 - December 6, 2021
BOK FINANCIAL ASSET MANAGEMENT, INC.
June 9, 2006 - June 19, 2006
BOK FINANCIAL SECURITIES, INC.
June 6, 2006 - March 10, 2020
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
April 2, 2003 - March 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2003 - March 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BOK FINANCIAL ASSET MANAGEMENT, INC.
CRD#: 106507 / SEC#: 801-51834
Contact information
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.
