George W. Philipps

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CRD#: 362561

Professional summary

George William Philipps was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

George is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, George had worked at 13 firms, which includes PENSION FUND EVALUATIONS INC., UBS FINANCIAL SERVICES INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED, LEHMAN BROTHERS INC., SHEARSON HAYDEN STONE INC., KUHNS BROTHERS & LAIDLAW INC., LOEB RHOADES & CO, EDWARDS & HANLY, TARICA & CO., HAYDEN STONE INC., DEAN WITTER & CO. INCORPORATED, YARMUTH SECURITIES CO, SHEARSON HAMMILL & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 10, 1983 - March 4, 2002

PENSION FUND EVALUATIONS, INC.

CRD#: 10985

CENTEREACH, NY

Past

January 31, 1980 - January 12, 1981

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

February 28, 1979 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

November 22, 1977 - March 5, 1979

LEHMAN BROTHERS INC.

CRD#: 7506

Past

November 9, 1977 - November 22, 1977

SHEARSON HAYDEN STONE INC.

CRD#: 7295

Past

April 30, 1976 - May 1, 1977

KUHNS BROTHERS & LAIDLAW, INC.

CRD#: 1481

Past

October 6, 1975 - April 19, 1976

LOEB RHOADES & CO

CRD#: 1000012

Past

July 30, 1974 - November 10, 1975

EDWARDS & HANLY

CRD#: 6554

Past

April 1, 1974 - June 28, 1974

TARICA & CO.,

CRD#: 2344

Past

January 16, 1974 - April 7, 1974

HAYDEN STONE INC.

CRD#: 6567

Past

November 19, 1973 - January 19, 1974

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

Past

February 7, 1973 - November 10, 1973

YARMUTH SECURITIES CO

CRD#: 1000006

Past

September 27, 1971 - March 25, 1973

SHEARSON, HAMMILL & CO., INCORPORATED

CRD#: 766

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PENSION FUND EVALUATIONS, INC.

PENSION FUND EVALUATIONS, INC. | PENSION FUND MONITORING AND EVALUATION SERVICES, INC.

CRD#: 10985 / SEC#: 801-15614, 8-25520

RIA

Registered Investment Advisory firm - SEC (11/14/1980 Approved)

Approved by SEC on 12/19/1980

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 1

Date: 12/28/1964

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/1981

General Securities Principal Examination

Current Firm

PENSION FUND EVALUATIONS, INC.

PENSION FUND EVALUATIONS, INC. | PENSION FUND MONITORING AND EVALUATION SERVICES, INC.

CRD#: 10985 / SEC#: 801-15614, 8-25520

RIA

Registered Investment Advisory firm - SEC (11/14/1980 Approved)

Approved by SEC on 12/19/1980

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Contact information

Main Address

2450 Middle Country Rd, Centereach, NY 11720

Mailing Address

Phone number

(631) 585-8282

Established

New York since 11/14/1980

Firm type

Other Types of Legal Formation

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE SUMMARY (3/28/2024)

PART 2B OF FORM ADV BROCHURE SUPPLEMENT (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
PHILIPPS, GREGORY GEORGE	PRESIDENT	1544670
PHILIPPS, GREGORY GEORGE	CHIEF COMPLIANCE OFFICER	1544670
LETWINS, ROBERT JOSEPH	EXECUTIVE VICE PRESIDENT	5524971
PELLICANI, MARY ELLEN	PRINCIPAL	2679708

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

George W. Philipps

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

LEHMAN BROTHERS INC.

SHEARSON HAYDEN STONE INC.

KUHNS BROTHERS & LAIDLAW, INC.

LOEB RHOADES & CO

EDWARDS & HANLY

TARICA & CO.,

HAYDEN STONE INC.

DEAN WITTER & CO. INCORPORATED

YARMUTH SECURITIES CO

SHEARSON, HAMMILL & CO., INCORPORATED

Primary Firm SEC Registration

PENSION FUND EVALUATIONS, INC.

State Registrations and Notice Filings

Exams

Series 1

Date: 12/28/1964

Series 24

Date: 10/2/1981

Current Firm

PENSION FUND EVALUATIONS, INC.

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PENSION FUND EVALUATIONS, INC.

TRUST BUT VERIFY

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