Elizabeth A. 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.
Elizabeth Ann Phillips, who also goes by Elizabeth Ann Bartow, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1994. Elizabeth had worked at 11 firms and has passed the Series 66, Series 63, 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
March 18, 2008 - April 22, 2013
UNITED CAPITAL FINANCIAL ADVISORS
January 8, 2007 - October 25, 2010
GIRARD SECURITIES, INC.
August 11, 2005 - April 15, 2013
GIRARD SECURITIES, INC.
November 6, 2003 - August 22, 2005
OSAIC WEALTH, INC.
January 7, 2002 - March 27, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 7, 2002 - March 27, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 21, 2001 - October 18, 2001
KESTRA INVESTMENT SERVICES, LLC
June 19, 2000 - July 12, 2001
ARAGON FINANCIAL SERVICES, INC.
April 8, 1998 - June 16, 2000
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
December 11, 1996 - March 14, 1997
ARGUS SECURITIES, INC.
September 23, 1996 - December 17, 1996
SIGMA FINANCIAL CORPORATION
December 9, 1994 - October 1, 1996
ARGUS SECURITIES, INC.
September 30, 1994 - November 29, 1994
BARNETT INVESTMENTS, INC.
January 14, 1994 - September 26, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
