Roy M. 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.
Roy Mack Phillips, who also goes by Mack Phillips, R. Mack Phillips, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1990. Roy had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2007 - March 21, 2017
D.H. HILL SECURITIES, LLLP
September 21, 2004 - December 6, 2005
REGAL SECURITIES, INC.
June 10, 2004 - October 17, 2005
SCF SECURITIES, INC.
July 2, 2001 - December 3, 2002
FINANCIAL WEST GROUP
December 4, 1998 - April 3, 2001
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
May 24, 1995 - December 31, 1997
SUNAMERICA SECURITIES, INC.
February 1, 1994 - December 21, 1994
SECURITIES AMERICA, INC.
April 4, 1992 - January 1, 1994
FINANCIAL WEST GROUP
October 5, 1990 - October 1, 1991
LPL FINANCIAL LLC
April 24, 1990 - August 27, 1990
LONDON PACIFIC SECURITIES, 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
Current Firm
D.H. HILL SECURITIES, LLLP
CRD#: 41528 / SEC#: , 8-49475
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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