Barry R. Phipps
Professional summary
Barry Ray Phipps SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Barry is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Barry had worked at 7 firms, which includes USALLIANZ SECURITIES INC., SUNAMERICA SECURITIES INC., VOYA FINANCIAL ADVISORS INC., CENTAURUS FINANCIAL INC., WMA SECURITIES INC., TRANSAMERICA FINANCIAL ADVISORS LLC, AMERICAN GENERAL EQUITY SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 1999 - February 7, 2000
USALLIANZ SECURITIES, INC.
October 15, 1996 - February 28, 1997
SUNAMERICA SECURITIES, INC.
March 13, 1995 - September 26, 1996
VOYA FINANCIAL ADVISORS, INC.
June 20, 1994 - March 9, 1995
CENTAURUS FINANCIAL, INC.
June 6, 1994 - June 15, 1994
WMA SECURITIES, INC.
July 24, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 19, 1992 - July 14, 1992
AMERICAN GENERAL EQUITY SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 7/20/1974
Registered Representative ExaminationCurrent Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
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