Guy E. Phillips

NUORION ADVISORS

Miami, FL

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CRD#: 2055846

Professional summary

Guy Edwardjohn Phillips, who also goes by Guy Edward John Phillips, is a registered financial advisor currently at NUORION ADVISORS, LLC located in Miami, Florida and NUORION CAPITAL located in Miami, Florida.

Guy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Guy has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Guy Edward John Phillips

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) NuOrion Advisors, LLC; Investment Related Business; 8 Stephanie Lane, Darien, CT; 06820; Managing Member; START DATE: Feb 2018; HOURS: 30%; DUTIES: Private Advisory Firm. 2) NuOrion Capital, LLC; A broker-dealer. 495 Brickell Ave, Miami, FL 33131; Managing Member; START DATE: July 2021; HOURS: 50%; Broker Dealer. 3) NuOrion Partners, LLC; Consulting business. 495 Brickell Ave, Miami, FL 3313; Managing Member; START DATE: Sept. 2013; HOURS: 10%; DUTIES: Consulting business. 4) Lummus Corporation; Non-Investment related; 225 Bourne Boulevard Savannah, Georgia 31408-9586; Board of Directors; Start Date: 4/5/18; Hours: 5%; Duties: Supervisory Management. 5) Spayne Lindsay & Co. LLP; Non-Investment Related Business; 55 Strand, London England WC2N 5LR; START DATE: 9/1/18; HOURS: 5%; DUTIES: Non-broker dealer engagements, Firm Administration. 6) Costar Technologies; Non-Investment related; 101 Wrangler Drive, Ste. 201, Coppell, TX 75019; Board of Directors; Start Date: 9/29/22; Hours: 5%; Duties: Supervisory Management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guy Edwardjohn Phillips's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 9, 2018 - Present

NUORION ADVISORS, LLC

RIA

CRD#: 290216

Miami, FL

Current

July 13, 2022 - Present

NUORION CAPITAL

Office #2: 495 Brickell Ave Suite 2101, Miami, FL 33131

CRD#: 315811

Miami, FL

Past

March 27, 2017 - September 4, 2018

STOUT CAPITAL, LLC

CRD#: 127302

New York, NY

Past

December 13, 2012 - July 17, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

January 4, 1999 - January 11, 2013

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

June 13, 1996 - June 26, 1998

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

August 22, 1994 - January 17, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

August 10, 1993 - December 23, 1993

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

May 23, 1990 - August 6, 1992

OFFUTT SECURITIES, INC.

CRD#: 19782

GLYNDON, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(9/2/2022)

IAR

Florida
(10/20/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/4/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/25/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/16/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NUORION ADVISORS, LLC

NUORION ADVISORS, LLC | NUORION PARTNERS LLC | NUORION PARTNERS

CRD#: 290216 / SEC#:

Connecticut

Registered Investment Advisory firm - (3/31/2023 Terminated)

Florida

Registered Investment Advisory firm - (10/20/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Miami, FL

Mailing Address

Phone number

(917) 859-7268

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Guy E. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guy Edwardjohn Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUORION CAPITAL

STOUT CAPITAL, LLC

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

SCHRODER & CO. INC.

KIDDER, PEABODY & CO. INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

OFFUTT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2022

Series 63

Date: 8/25/2017

SIE

Date: 9/4/2018

Series 7

Date: 5/22/1990

Series 24

Date: 11/16/2021

FINRA

Current Firm

NUORION ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

NUORION ADVISORS, LLC

TRUST BUT VERIFY

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