Edmond J. 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.
Edmond John Phillips, who also goes by Buzzy Phillips, Ed Phillips, was a registered financial professional .
Edmond is a previously registered financial professional and started their career in finance in 1995. Edmond had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2019 - March 25, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 22, 2019 - March 25, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 28, 2018 - October 31, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 2018 - October 31, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
July 9, 2009 - March 1, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 14, 2008 - October 13, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 19, 2008 - March 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 26, 2001 - June 20, 2008
EDWARD JONES
April 28, 2000 - July 20, 2001
MOLONEY SECURITIES CO., INC.
April 3, 2000 - May 1, 2000
A. G. EDWARDS & SONS, INC.
July 29, 1999 - March 31, 2000
SII INVESTMENTS, INC.
July 10, 1997 - July 19, 1999
USALLIANZ SECURITIES, INC.
August 29, 1995 - December 31, 1996
INVESTORS CAPITAL CORP.
May 23, 1995 - June 5, 1995
MOMENTUM INDEPENDENT NETWORK INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
