Gregory L. Phillips
Professional summary
Gregory Leon Phillips, who also goes by Greg Phillips, Gregory Leon Phillips, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1993. Gregory has worked at 11 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Leon Phillips's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2023 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102October 4, 2012 - February 28, 2023
T. ROWE PRICE INVESTMENT SERVICES, INC.
May 19, 2011 - August 24, 2012
VIRTUS CAPITAL ADVISERS, LLC
August 20, 2008 - August 22, 2012
FORESIDE ASSOCIATES, LLC
September 29, 2005 - August 20, 2008
TRUIST INVESTMENT SERVICES, INC.
February 27, 2002 - September 2, 2005
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 19, 2001 - February 7, 2002
DWS DISTRIBUTORS, INC.
October 28, 1999 - October 19, 2001
DEAM INVESTOR SERVICES, INC.
January 1, 1999 - October 7, 1999
GPC SECURITIES, INC.
July 6, 1996 - January 1, 1999
INVESCO DISTRIBUTORS, INC.
May 10, 1994 - December 11, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 1993 - December 22, 1993
PRUCO SECURITIES, 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
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Exams
FINRA
Current Firm
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
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.
