WP
William J. Phillips
VANGUARD MARKETING
CHARLOTTE, NC 28262
Some features on this profile are disabled
CRD#: 2671465
WP
Professional summary
William Joseph Phillips, who also goes by William J Phillips, Bill J Phillips, Bill Phillips, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.
William is registered as a RR (Registered Representative) and started their career in finance in 1996. William has worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
William J Phillips | Bill J Phillips | Bill Phillips
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view William Joseph Phillips's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 27, 2024 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262BD
CRD#: 7452
CHARLOTTE, NC
Past
September 26, 2013 - August 16, 2016
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
Past
June 21, 2007 - October 18, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
CHARLOTTE, NC
Past
March 24, 2005 - October 18, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
May 5, 2003 - August 11, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 5, 2003 - August 11, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 5, 2001 - August 8, 2002
ENTERPRISE FUND DISTRIBUTORS, INC.
BD
CRD#: 883
ATLANTA, GA
Past
June 7, 2000 - February 6, 2001
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
June 7, 2000 - February 6, 2001
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
July 23, 1998 - January 20, 1999
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
March 6, 1996 - June 18, 1998
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/15/2024)
RR
Alaska(10/15/2024)
RR
Arizona(10/15/2024)
RR
Arkansas(10/15/2024)
RR
California(10/15/2024)
RR
Colorado(10/15/2024)
RR
Connecticut(10/15/2024)
RR
Delaware(10/15/2024)
RR
District of Columbia(10/15/2024)
RR
Florida(10/15/2024)
RR
Georgia(10/15/2024)
RR
Hawaii(10/15/2024)
RR
Idaho(10/15/2024)
RR
Illinois(10/15/2024)
RR
Indiana(10/15/2024)
RR
Iowa(10/15/2024)
RR
Kansas(10/15/2024)
RR
Kentucky(10/15/2024)
RR
Louisiana(10/15/2024)
RR
Maine(10/15/2024)
RR
Maryland(10/15/2024)
RR
Massachusetts(10/15/2024)
RR
Michigan(10/15/2024)
RR
Minnesota(10/15/2024)
RR
Mississippi(10/15/2024)
RR
Missouri(10/15/2024)
RR
Montana(10/15/2024)
RR
Nebraska(10/15/2024)
RR
Nevada(10/15/2024)
RR
New Hampshire(10/15/2024)
RR
New Jersey(10/15/2024)
RR
New Mexico(10/15/2024)
RR
New York(10/15/2024)
RR
North Carolina(10/11/2024)
RR
North Dakota(10/15/2024)
RR
Ohio(10/15/2024)
RR
Oklahoma(10/15/2024)
RR
Oregon(10/15/2024)
RR
Pennsylvania(10/15/2024)
RR
Puerto Rico(10/15/2024)
RR
Rhode Island(10/15/2024)
RR
South Carolina(10/15/2024)
RR
South Dakota(10/15/2024)
RR
Tennessee(10/15/2024)
RR
Texas(10/15/2024)
RR
Utah(10/15/2024)
RR
Vermont(10/15/2024)
RR
Virgin Islands(10/15/2024)
RR
Virginia(10/15/2024)
RR
Washington(10/15/2024)
RR
West Virginia(10/15/2024)
RR
Wisconsin(10/15/2024)
RR
Wyoming(10/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/27/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
