Phillip J. Napper
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 Jefferson Napper SR, who also goes by Phil Jefferson Napper, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1991. Phillip had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, 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
January 13, 2015 - December 31, 2019
CROWN CAPITAL SECURITIES, L.P.
May 10, 2013 - December 31, 2014
J.W. COLE FINANCIAL, INC.
June 4, 2012 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
January 11, 2007 - December 31, 2025
SECURA FINANCIAL
April 19, 1999 - April 28, 2011
LPL FINANCIAL LLC
January 28, 1999 - June 8, 2012
LPL FINANCIAL LLC
November 30, 1994 - February 2, 1999
OSAIC WEALTH, INC.
March 12, 1991 - November 30, 1994
IDS LIFE INSURANCE COMPANY
March 12, 1991 - November 30, 1994
AMERIPRISE FINANCIAL SERVICES, 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
