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Connie E. Phillips

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CRD#: 2349450
CP

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.

Connie Elaine Phillips was a registered financial professional .

Connie is a previously registered financial professional and started their career in finance in 1993. Connie had worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 6, 2010 - October 1, 2013

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

January 11, 2008 - December 31, 2009

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
FREDRICK, MD
Past

January 4, 1999 - December 31, 2007

THE INVESTMENT CENTER, INC.

BD
CRD#: 17839
FREDERICK, MD
Past

May 14, 1997 - December 31, 1998

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

January 1, 1996 - May 19, 1997

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

February 1, 1995 - January 1, 1996

COMPREHENSIVE FINANCIAL SERVICES, INC.

BD
CRD#: 22710
Past

June 2, 1993 - December 5, 1994

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/2/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 6/1/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/1/2000
Investment Company Products/Variable Contracts Principal Examination

Current Firm

FE
FORESTERS EQUITY SERVICES, INC.
FORESTERS EQUITY SERVICES, INC. | FORESTERS SECURITIES, INC.

CRD#: 18464 / SEC#: 801-77880, 8-36703

BD
Terminated by SEC on 02/11/2019
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Contact information

Main Address
6640 Lusk Blvd #a202, San Diego, CA 92121
Mailing Address
Phone number
Established
California since 05/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART II (3/27/2018)

Direct owners and executive officers

NamePositionCRD#
THE INDEPENDENT ORDER OF FORESTERS ("IOF")OWNER
GERB, JASON HARRISCHIEF COMPLIANCE OFFICER3021815
GIL, JUDITH ELAINEVICE PRESIDENT COMPLIANCE2707895
MALECHUK, LAURA ANNFINANCIAL OPERATIONS PRINCIPAL1105982
MCDONOUGH, MARK EVP OPERATIONS4254608
REABURN, PAUL DOUGLASDIRECTOR4125521
SMITH, FRANK LEOPRESIDENT2080590
SMITH, FRANK LEODIRECTOR2080590

Disclosures

Regulatory Event2

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.

Company Information

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

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