Douglas J. 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.
Douglas J Phillips, who also goes by Douglas Jay Phillips, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2019 - August 13, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 22, 2019 - August 12, 2021
FIDELITY BROKERAGE SERVICES LLC
May 3, 2017 - August 9, 2019
FIFTH THIRD SECURITIES, INC.
May 3, 2017 - August 9, 2019
FIFTH THIRD SECURITIES, INC.
June 30, 2006 - May 2, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2006 - May 2, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 16, 2002 - July 18, 2006
CITIGROUP GLOBAL MARKETS INC.
December 16, 2002 - July 18, 2006
CITIGROUP GLOBAL MARKETS INC.
October 27, 2000 - December 18, 2002
MORGAN STANLEY DW INC.
June 26, 2000 - December 18, 2002
MORGAN STANLEY DW 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
