Sarah R. Phillips-frangioni
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.
Sarah Ruth Phillips-frangioni, who also goes by Sarah Ruth Garrison, Sarah Ruth Phillips, Sarah R Phillips-frangioni, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 1997. Sarah had worked at 5 firms and has passed the Series 63 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
June 20, 2007 - December 31, 2015
PHILLIPS ADVISORY GROUP LLC
April 24, 2007 - February 7, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 21, 2004 - December 6, 2006
MORGAN KEEGAN & COMPANY, LLC
July 9, 2004 - December 6, 2006
MORGAN KEEGAN & COMPANY, LLC
November 20, 1997 - July 1, 2004
CITIGROUP GLOBAL MARKETS INC.
November 17, 1997 - July 1, 2004
CITIGROUP GLOBAL MARKETS INC.
October 3, 1997 - November 11, 1997
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PHILLIPS ADVISORY GROUP LLC
CRD#: 143637 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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