Phillip D. Wills
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.
Phillip David Wills, who also goes by Phillip D Wills, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1998. Phillip had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2004 - December 31, 2004
IMS SECURITIES, INC.
November 9, 2004 - November 9, 2017
WESTPARK WEALTH ADVISORS, INC.
October 22, 2004 - November 9, 2017
IMS SECURITIES, INC.
August 20, 2001 - December 9, 2002
MORGAN STANLEY DW INC.
August 20, 2001 - December 9, 2002
MORGAN STANLEY DW INC.
November 12, 1998 - September 14, 2001
UBS FINANCIAL 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
Current Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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.
