Larry M. Phillips
Professional summary
Larry Michael Phillips was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Larry is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Larry had worked at 9 firms, which includes PURSHE KAPLAN STERLING INVESTMENTS, THE PHILLIPS GROUP ADVISORS, RBC CAPITAL MARKETS LLC, WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., DEAN WITTER & CO. INCORPORATED, ALBERT & MAGUIRE SECURITIES CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2009 - April 22, 2016
PURSHE KAPLAN STERLING INVESTMENTS
November 16, 2009 - August 9, 2016
THE PHILLIPS GROUP ADVISORS
December 2, 2003 - November 19, 2009
RBC CAPITAL MARKETS, LLC
December 2, 2003 - November 19, 2009
RBC CAPITAL MARKETS, LLC
July 11, 1997 - November 26, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 10, 1996 - November 26, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 11, 1992 - March 15, 1996
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1978 - August 4, 1992
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
June 1, 1972 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
June 24, 1971 - May 10, 1972
ALBERT & MAGUIRE SECURITIES CO., 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 15
Date: 11/14/1985
Foreign Currency Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 6/14/1971
Registered Representative ExaminationSeries 8
Date: 2/22/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
