Phillips Wiegand
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.
Phillips Wiegand, who also goes by Phillips Wiegand Jr, was a registered financial professional .
Phillips is a previously registered financial professional and started their career in finance in 1998. Phillips had worked at 7 firms and has passed the Series 63, Series 65, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2011 - November 14, 2011
WTS PROPRIETARY TRADING GROUP LLC
August 10, 2007 - July 16, 2010
TRADEDESK FINANCIAL CORP.
July 21, 2004 - December 14, 2009
NEWCOMB AND COMPANY
February 27, 2002 - July 22, 2003
CARLIN EQUITIES, LLC
July 17, 2000 - October 22, 2001
ON-SITE TRADING, INC.
August 18, 1999 - July 14, 2000
NAVILLUS SECURITIES, INC.
July 17, 1998 - February 29, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
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
Series 55
Date: 8/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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