Phillip R. Reames
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 Richard Reames was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1989. Phillip had worked at 10 firms and has passed the Series 65, Series 63, SIE, 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
May 18, 2016 - August 15, 2016
MADISON AVENUE SECURITIES, LLC
May 16, 2016 - August 15, 2016
MADISON AVENUE SECURITIES, LLC
October 20, 2010 - May 17, 2016
FOOTHILL SECURITIES, INC.
February 5, 2010 - May 17, 2016
FOOTHILL SECURITIES, INC.
June 12, 2006 - December 31, 2009
NEXT FINANCIAL GROUP, INC.
March 1, 2004 - June 12, 2006
INVESTACORP, INC.
September 1, 2000 - March 1, 2004
NATIONAL PLANNING CORPORATION
May 13, 1996 - September 1, 2000
FSC SECURITIES CORPORATION
December 10, 1993 - May 22, 1996
IDS LIFE INSURANCE COMPANY
October 1, 1991 - May 22, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
October 9, 1989 - October 22, 1991
METROPOLITAN LIFE INSURANCE COMPANY
October 9, 1989 - October 22, 1991
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
