James 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.
James Lee Phillips was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 3 firms and has passed the Series 63, Series 1 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
April 23, 1985 - January 1, 1987
EDC SECURITIES COMPANY, INC
January 4, 1974 - August 5, 1977
STORER WARE & CO., INC.
April 29, 1968 - September 15, 1972
CASH SHOAF & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 4/24/1968
Registered Representative ExaminationSeries 00
Date: 6/23/1971
General Securities Principal ExaminationCurrent Firm
EDC SECURITIES COMPANY, INC
CRD#: 10137 / SEC#: , 8-26325
Contact information
Documents
Red Flags
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