Gregory Allen Phillips
Professional Summary
Gregory Allen Phillips, who also goes by Gregory A Phillips, is a registered financial advisor currently at BROADHAVEN SECURITIES LLC located in Chicago, Illinois. Gregory is registered as a RR (Registered Representative) and started their career in finance in 2002. Gregory has worked at 6 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gregory A Phillips
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
BROADHAVEN SECURITIES LLC
Contact Information
Main Address
155 North Wacker Suite 4440, Chicago, IL 60606Mailing Address
155 North Wacker Suite 4440, Chicago, IL 60606Phone Number
(312) 621-9801Established
Delaware since 04/04/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(5/27/2021)
(12/6/2011)
(3/8/2019)
(1/3/2012)
(7/8/2021)
(5/31/2017)
(3/10/2017)
(11/29/2011)
(11/3/2011)
(2/12/2019)
(1/12/2012)
(2/18/2019)
(2/17/2017)
(3/21/2019)
(2/21/2019)
(3/14/2017)
(1/4/2021)
(11/28/2011)
(1/23/2015)
(11/21/2018)
(2/20/2019)
(11/27/2018)
(2/12/2019)
(12/6/2019)
(2/12/2019)
(6/8/2021)
(2/20/2019)
(11/6/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gregory Allen Phillips's CRS (Customer Relationship Summary).
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