Joel J. Phillippi
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.
Joel James Phillippi was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1970. Joel had worked at 10 firms and has passed the Series 65, Series 63, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2004 - December 31, 2025
VALLEY VIEW MANAGEMENT CO., LLC
June 13, 1996 - January 12, 2005
WALNUT STREET SECURITIES, INC.
March 31, 1988 - June 13, 1996
JOHN G. KINNARD AND COMPANY, INCORPORATED
August 7, 1986 - April 12, 1988
MILLER JOHNSON STEICHEN KINNARD, INC.
August 9, 1983 - December 7, 1987
BASIC SECURITIES INVESTMENT COMPANY
January 26, 1983 - July 29, 1983
WOODBURY FINANCIAL SERVICES, INC.
October 4, 1973 - June 19, 1974
GOICK, DEIGHTON & CO., INC.
March 29, 1973 - May 30, 1973
BUSH AND COMPANY INCORPORATED
June 27, 1972 - April 11, 1983
THE GREAT-WEST LIFE ASSURANCE COMPANY
May 26, 1970 - April 3, 1972
WESTERN FUNDING, 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
Series 1
Date: 5/19/1970
Registered Representative ExaminationCurrent Firm
VALLEY VIEW MANAGEMENT CO., LLC
CRD#: 125556 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 17,636,666 |
Red Flags
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