Dennis M. 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.
Dennis Michael Phillips was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1993. Dennis had worked at 12 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2013 - August 25, 2014
INVESTMENT ADVISORS CORP
October 15, 2013 - August 25, 2014
BROKER DEALER FINANCIAL SERVICES CORP.
April 9, 2013 - September 10, 2013
INTEGRITY ALLIANCE, LLC.
November 21, 2012 - September 10, 2013
INTEGRITY ALLIANCE, LLC.
August 18, 2011 - November 16, 2011
CENTAURUS FINANCIAL, INC.
October 17, 2000 - October 30, 2001
KOVACK SECURITIES INC.
February 10, 2000 - August 23, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 1999 - February 2, 2000
SII INVESTMENTS, INC.
October 8, 1997 - December 15, 1998
SOUTHERN CAPITAL SECURITIES, INC.
January 8, 1997 - October 2, 1997
OSAIC WEALTH, INC.
August 24, 1994 - November 11, 1996
FIRST MONTAUK SECURITIES CORP.
May 20, 1994 - September 9, 1994
JOSEPHTHAL & CO., INC.
May 3, 1993 - May 18, 1994
TAMARON INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTMENT ADVISORS CORP
CRD#: 117531 / SEC#: 801-69573
Contact information
Red Flags
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