Phil D. Williamson
Professional summary
Phil Donnahue Williamson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Phil is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Phil had worked at 5 firms, which includes HIMCO DISTRIBUTION SERVICES COMPANY, ONEAMERICA SECURITIES INC., MML INVESTORS SERVICES LLC, EQUITABLE ADVISORS LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2010 - August 2, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
October 16, 2009 - June 11, 2010
ONEAMERICA SECURITIES, INC.
December 17, 2003 - December 31, 2007
MML INVESTORS SERVICES, LLC
December 15, 1995 - January 16, 2004
EQUITABLE ADVISORS, LLC
December 7, 1995 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 7, 1995 - January 16, 2004
EQUITABLE ADVISORS, LLC
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
HIMCO DISTRIBUTION SERVICES COMPANY
CRD#: 6604 / SEC#: , 8-17719
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FINANCIAL SERVICES, LLC | PARENT OF APPLICANT | |
| BENKEN, DIANA KUMP | CONTROLLER, FINOP, CHIEF FINANCIAL OFFICER | 4579476 |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 2239639 |
| FAY, ERIC MORGAN | DIRECTOR | 1558547 |
| FIXER, MICHAEL JOSEPH | ASSISTANT VICE PRESIDENT AND ASSISTANT TREASURER | 5601318 |
| JOHNSON, BRION SCOTT | DIRECTOR | 1936218 |
| POZNAR, MATTHEW JAMES | CEO, DIRECTOR | 6307254 |
| PURTILL, SABRA R | TREASURER | 2449290 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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