Phillip Ray Knotts
Professional Summary
Phillip Ray Knotts is a registered financial advisor currently at BAILEY & CO. SECURITIES, LLC located in Chicago, Illinois. Phillip is registered as a RR (Registered Representative) and started their career in finance in 2000. Phillip has worked at 6 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
BAILEY & CO. SECURITIES, LLC | BSC SECURITIES, LLC
Contact Information
Main Address
5511 Virginia Way Suite 200, Brentwood, TN 37027Mailing Address
5511 Virginia Way Suite 200, Brentwood, TN 37027Phone Number
(215) 694-5054Established
Tennessee since 04/12/2019Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (18 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAILEY & COMPANY PARENT, LLC | PARENT COMPANY/100 OWNER | — |
| BAILEY, JEFFREY LAWRENCE | MANAGING DIRECTOR/PRINCIPAL | 3171436 |
| BAILEY, JOHN JAMES III | MANAGING DIRECTOR/PRINCIPAL | 5708044 |
| INGRAHAM, FRANK TODD | CHIEF COMPLIANCE OFFICER | 2918519 |
| SCALLEN, TIMOTHY D | CHIEF EXECUTIVE OFFICER | 5548802 |
| SERRA, CARL ANTHONY III | FINOP | 3179039 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/20/2022)
(5/20/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2000About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Phillip Ray Knotts's CRS (Customer Relationship Summary).
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