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GP

Gregory A. Phillips

BROADHAVEN SECURITIES LLC
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 3269223
GP

Professional summary

Gregory Allen Phillips, who also goes by Gregory A Phillips, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregory A Phillips

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) - BD

Click below to view Gregory Allen Phillips'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®
None

Experience

Current

November 1, 2011 - Present

BROADHAVEN SECURITIES LLC

Office #1: 155 North Wacker Suite 4440, Chicago, IL 60606
BD
CRD#: 157804
CHICAGO, IL
Past

July 31, 2013 - April 10, 2017

BH SECURITIES, LLC

BD
CRD#: 167186
Chicago, IL
Past

March 16, 2010 - January 2, 2021

BROADHAVEN CAPITAL PARTNERS GP I, LLC

RIA
CRD#: 152971
CHICAGO, IL
Past

March 11, 2010 - November 18, 2011

BEECH HILL SECURITIES, INC.

BD
CRD#: 24771
NEW YORK, NY
Past

October 29, 2004 - March 15, 2006

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

November 14, 2002 - July 6, 2004

DRESDNER KLEINWORT WASSERSTEIN, LLC

BD
CRD#: 22068
NEW YORK, NY

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
Arkansas
(5/27/2021)
RR
California
(12/6/2011)
RR
Colorado
(3/8/2019)
RR
Connecticut
(1/3/2012)
RR
Delaware
(7/8/2021)
RR
District of Columbia
(5/31/2017)
RR
Florida
(3/10/2017)
RR
Georgia
(11/29/2011)
RR
Illinois
(11/3/2011)
RR
Iowa
(2/12/2019)
RR
Kansas
(1/12/2012)
RR
Louisiana
(2/18/2019)
RR
Massachusetts
(2/17/2017)
RR
Minnesota
(3/21/2019)
RR
Nevada
(2/21/2019)
RR
New Hampshire
(3/14/2017)
RR
New Jersey
(1/4/2021)
RR
New York
(11/28/2011)
RR
North Carolina
(1/23/2015)
RR
Ohio
(11/21/2018)
RR
Oklahoma
(2/20/2019)
RR
Pennsylvania
(11/27/2018)
RR
South Dakota
(2/12/2019)
RR
Texas
(12/6/2019)
RR
Utah
(2/12/2019)
RR
Virginia
(6/8/2021)
RR
Washington
(2/20/2019)
RR
Wisconsin
(11/6/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/15/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/8/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROADHAVEN SECURITIES LLC
BROADHAVEN SECURITIES LLC

CRD#: 157804 / SEC#: , 8-68862

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
155 North Wacker Suite 4440, Chicago, IL 60606
Mailing Address
155 North Wacker Suite 4440, Chicago, IL 60606
Phone number
(312) 621-9801
Established
Delaware since 04/04/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BROADHAVEN CAPITAL PARTNERS, LLCOWNER
LOCKWOOD, MEGHAN EILEENCFO/FINOP4474368
PHILLIPS, GREGORY ALLENCEO/CCO/AMLCO/ER3269223
VON DOHLEN, GERARD NICHOLAS JR.PRINCIPAL2914891

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

BROADHAVEN SECURITIES LLC

CRD#: 157804Chicago, IL 60606

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