Christopher L. Phillips
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.
Christopher Lyle Phillips was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1970. Christopher had worked at 5 firms and has passed the SIE, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1975 - November 7, 2017
PHILLIPS CAPITAL
January 11, 1974 - March 21, 1975
LEARNED & COMPANY, INC.
July 2, 1973 - February 21, 1974
DUPONT WALSTON, INCORPORATED
July 28, 1972 - July 2, 1973
January 13, 1970 - July 11, 1972
BLYTH EASTMAN DILLON & CO. INCORPORATED
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: 11/29/1968
Registered Representative ExaminationF04
Date: 1/24/1975
Financial Principal ExaminationSeries 00
Date: 2/23/1973
General Securities Principal ExaminationCurrent Firm
PHILLIPS CAPITAL
CRD#: 3603 / SEC#: , 8-9312
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
