Susan L. 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.
Susan Lynn Phillips, who also goes by Susan Phillips, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1993. Susan had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2019 - August 13, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2019 - August 13, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 2017 - January 14, 2019
TSA MANAGEMENT INC
April 23, 2013 - December 31, 2016
TSA MANAGEMENT INC
June 20, 2012 - January 14, 2019
HALLIDAY FINANCIAL, LLC
March 24, 2011 - June 1, 2012
LPL FINANCIAL LLC
June 14, 2010 - June 1, 2012
LPL FINANCIAL LLC
March 18, 2004 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
March 18, 2004 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
November 25, 2002 - March 17, 2004
QUICK & REILLY, INC.
September 25, 2000 - March 17, 2004
QUICK & REILLY, INC.
November 2, 1999 - November 2, 2000
FLEET ENTERPRISES, INC.
March 16, 1993 - September 25, 2000
FIS SECURITIES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
