Harold 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.
Harold Lee Phillips JR, who also goes by Bud Phillips, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1974. Harold had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2010 - February 28, 2017
THE ORR GROUP, LLC
December 11, 2003 - July 1, 2008
SCOTT & STRINGFELLOW, LLC
October 1, 1999 - June 13, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 12, 1989 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
November 16, 1987 - December 6, 1988
WACHOVIA SECURITIES, INC.
March 16, 1987 - October 16, 1987
FIRST UNION BROKERAGE SERVICES, INC.
February 16, 1977 - March 25, 1986
FIRST TRYON SECURITIES, LLC
February 21, 1975 - March 14, 1977
WACHOVIA SECURITIES, INC.
August 20, 1974 - March 27, 1975
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 8/15/1974
Registered Representative ExaminationSeries 40
Date: 5/9/1977
Registered Principal ExaminationCurrent Firm
THE ORR GROUP, LLC
CRD#: 131862 / SEC#: , 8-66519
Contact information
Documents
Red Flags
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