John G. 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.
John Griffin Phillips was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 8 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
August 28, 2012 - February 5, 2013
BA SECURITIES, LLC
January 27, 2010 - October 6, 2010
MILLINGTON SECURITIES, INC.
February 17, 2009 - December 31, 2011
FIRST STREET CAPITAL ADVISORS LLC
March 15, 2007 - November 20, 2007
CALAMOS ADVISORS LLC
March 15, 2007 - February 29, 2008
CALAMOS FINANCIAL SERVICES LLC
November 7, 2002 - March 5, 2007
NUVEEN FUND ADVISORS, LLC
March 16, 2001 - March 5, 2007
NUVEEN SECURITIES, LLC
July 29, 1993 - February 15, 2001
FIRST TRUST PORTFOLIOS L.P.
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
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
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.
