Gregory 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.
Gregory Paul Phillips, who also goes by Greg Phillips, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1993. Gregory had worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 4, Series 9, Series 10 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2023 - September 1, 2026
CPC ADVISORS, LLC
August 15, 2019 - November 13, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 13, 2019 - August 17, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 30, 2018 - August 15, 2019
RAYMOND JAMES & ASSOCIATES, INC.
August 1, 2016 - August 15, 2019
RAYMOND JAMES & ASSOCIATES, INC.
May 14, 2015 - July 21, 2016
VSR FINANCIAL SERVICES, INC.
May 14, 2015 - July 21, 2016
GIRARD SECURITIES, INC.
February 10, 2015 - July 21, 2016
SUMMIT BROKERAGE SERVICES, INC.
February 10, 2015 - July 21, 2016
LEGEND EQUITIES CORPORATION
February 10, 2015 - July 21, 2016
INVESTORS CAPITAL CORP.
February 10, 2015 - July 21, 2016
FIRST ALLIED SECURITIES, INC.
February 10, 2015 - July 21, 2016
CETERA INVESTMENT SERVICES LLC
February 10, 2015 - July 21, 2016
CETERA FINANCIAL SPECIALISTS LLC
February 10, 2015 - July 21, 2016
CETERA ADVISORS LLC
February 10, 2015 - July 21, 2016
CETERA WEALTH SERVICES, LLC
November 19, 2013 - December 31, 2015
J.P. TURNER & COMPANY, L.L.C.
June 25, 2012 - October 10, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
July 23, 2009 - February 27, 2012
COMMONWEALTH CAPITAL SECURITIES CORP.
January 4, 1999 - October 20, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 6, 1993 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
Primary Firm SEC Registration
CPC ADVISORS, LLC
CRD#: 111025 / SEC#: 801-11913
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
CPC ADVISORS, LLC
CRD#: 111025 / SEC#: 801-11913
Contact information
SEC notice filing (31 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,696 |
| AUM (Assets Under Management) | $ 2,095,480,549 |
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.
