Daniel J. Phillips
Professional summary
Daniel John Phillips was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Daniel had worked at 6 firms, which includes ILICOB SALES CORPORATION, BAXTER BANKS & SMITH LTD., FIRST SECURITIES USA INC., FIRST ASSOCIATED SECURITIES GROUP INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, HIBBARD BROWN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 1999 - October 5, 1999
ILICOB SALES CORPORATION
November 18, 1998 - June 14, 1999
BAXTER BANKS & SMITH, LTD.
June 26, 1996 - November 23, 1998
FIRST SECURITIES USA, INC.
December 22, 1995 - June 26, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
July 22, 1994 - January 19, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 3, 1992 - August 4, 1994
HIBBARD BROWN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
ILICOB SALES CORPORATION
CRD#: 4252 / SEC#: , 8-15015
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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