MP
Michael C. Phalen
TRUIST SECURITIES
CHARLOTTE, NC 28202
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CRD#: 2800175
MP
Professional summary
Michael Christopher Phalen, who also goes by Mike Phalen, is a registered financial professional currently at TRUIST SECURITIES, INC. located in Charlotte, North Carolina.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, SIE, Series 7, Series 62 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Phalen
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 Michael Christopher Phalen'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
November 9, 2020 - Present
TRUIST SECURITIES, INC.
Office #1: 214 N Tryon St Fl 14 15, 19, Charlotte, NC, 28202BD
CRD#: 6271
CHARLOTTE, NC
Past
August 1, 2008 - October 19, 2020
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
January 14, 2008 - July 24, 2008
OPPENHEIMER & CO. INC.
BD
CRD#: 249
BALTIMORE, MD
Past
October 8, 2007 - January 14, 2008
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
BALTIMORE, MD
Past
May 2, 2002 - January 27, 2004
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
June 14, 1999 - March 18, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
January 17, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
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(11/9/2020)
RR
Alaska(11/9/2020)
RR
Arizona(11/9/2020)
RR
Arkansas(11/9/2020)
RR
California(11/9/2020)
RR
Colorado(11/9/2020)
RR
Connecticut(11/9/2020)
RR
Delaware(11/9/2020)
RR
District of Columbia(11/9/2020)
RR
Florida(11/9/2020)
RR
Georgia(11/9/2020)
RR
Hawaii(11/9/2020)
RR
Idaho(11/9/2020)
RR
Illinois(11/9/2020)
RR
Indiana(11/9/2020)
RR
Iowa(11/9/2020)
RR
Kansas(11/9/2020)
RR
Kentucky(11/9/2020)
RR
Louisiana(11/9/2020)
RR
Maine(11/10/2020)
RR
Maryland(11/9/2020)
RR
Massachusetts(11/9/2020)
RR
Michigan(11/9/2020)
RR
Minnesota(11/9/2020)
RR
Mississippi(11/9/2020)
RR
Missouri(11/9/2020)
RR
Montana(11/9/2020)
RR
Nebraska(11/9/2020)
RR
Nevada(11/9/2020)
RR
New Hampshire(11/9/2020)
RR
New Jersey(11/9/2020)
RR
New Mexico(11/9/2020)
RR
New York(11/9/2020)
RR
North Carolina(11/9/2020)
RR
North Dakota(11/9/2020)
RR
Ohio(11/10/2020)
RR
Oklahoma(11/9/2020)
RR
Oregon(11/9/2020)
RR
Pennsylvania(11/9/2020)
RR
Puerto Rico(11/9/2020)
RR
Rhode Island(11/9/2020)
RR
South Carolina(11/9/2020)
RR
South Dakota(11/9/2020)
RR
Tennessee(11/9/2020)
RR
Texas(11/9/2020)
RR
Utah(11/9/2020)
RR
Vermont(11/9/2020)
RR
Virginia(11/9/2020)
RR
Washington(11/9/2020)
RR
West Virginia(11/9/2020)
RR
Wisconsin(11/9/2020)
RR
Wyoming(11/9/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/5/2007
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION
CRD#: 6271 / SEC#: , 8-17212
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
