David T. 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.
David Thomas Phillips, who also goes by Dave Phillips, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1974. David had worked at 12 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2004 - July 7, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 22, 2003 - April 1, 2004
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 28, 2000 - August 22, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 2, 1991 - August 1, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 13, 1988 - December 31, 1990
MERRIMAN CAPITAL, INC.
March 26, 1987 - March 25, 1988
FPI SECURITIES, INC.
November 7, 1986 - March 30, 1987
MONARCH SECURITIES, INC.
May 12, 1986 - May 12, 1987
PRUCO SECURITIES, LLC.
December 18, 1985 - November 29, 1986
C.A.L. INVESTMENT SERVICES INC.
June 28, 1983 - September 17, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 23, 1981 - June 7, 1983
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 19, 1981 - October 22, 1981
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
August 10, 1976 - January 26, 1979
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 16, 1974 - April 4, 1981
TRANSAMERICA FINANCIAL ADVISORS, 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: 4/13/1974
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
