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Robert M. Phillips

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CRD#: 2814079
RP

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.

Robert Meacham Phillips was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 23, 2004 - March 29, 2017

OLD NORTH STATE TRUST, LLC

RIA
CRD#: 106155
SILER CITY, NC
Past

January 1, 1997 - March 21, 2000

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/9/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/3/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/1996
General Securities Representative Examination

Current Firm

ON
OLD NORTH STATE TRUST, LLC
NORTH STATE FINANCIAL MANAGEMENT LLC | OLD NORTH STATE TRUST, LLC | NORTH STATE FINANCIAL MANGEMENT LLC

CRD#: 106155 / SEC#: 801-50303

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Contact information

Main Address
125 South Elm Street Suite 100, Greensboro, NC 27401
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ONST BROCHURE (3/31/2017)

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.

Company Information

OLD NORTH STATE TRUST, LLC

CRD#: 106155

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