Phillip A. Newell
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 Adams Newell, who also goes by Phillip Newell, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1994. Phillip had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2004 - January 11, 2023
BRECKINRIDGE CAPITAL ADVISORS INC
October 8, 1996 - August 10, 1998
JANNEY MONTGOMERY SCOTT LLC
October 3, 1994 - October 14, 1996
TD WEALTH MANAGEMENT SERVICES INC.
March 28, 1994 - September 16, 1994
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
BRECKINRIDGE CAPITAL ADVISORS INC
CRD#: 107143 / SEC#: 801-43833
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
BRECKINRIDGE CAPITAL ADVISORS INC
CRD#: 107143 / SEC#: 801-43833
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,559 |
| AUM (Assets Under Management) | $ 50,989,726,048 |
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.
