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GP

Gregory J. Phillips

LIGHTSPEED FINANCIAL SERVICES GROUP LLC
Morristown, NJ 07960
Some features on this profile are disabled
CRD#: 4235758
GP

Professional summary

Gregory James Phillips, who also goes by Gregory J Phillips, is a registered financial professional currently at LIGHTSPEED FINANCIAL SERVICES GROUP LLC located in Morristown, New Jersey.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 2001. Gregory has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregory J Phillips

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory James Phillips's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 22, 2022 - Present

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

Office #1: 20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
BD
CRD#: 104369
Morristown, NJ
Past

April 20, 2021 - August 1, 2022

QWIKT GLOBAL SECURITIES LLC

BD
CRD#: 305541
New Brunswick, NJ
Past

May 13, 2009 - November 6, 2019

HARRISDIRECT LLC

RIA
CRD#: 42159
JERSEY CITY, NJ
Past

March 29, 2006 - November 6, 2019

E*TRADE SECURITIES LLC

BD
CRD#: 29106
Jersey City, NJ
Past

January 2, 2004 - March 30, 2006

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

October 18, 2001 - October 2, 2002

DATEK ONLINE FINANCIAL SERVICES LLC

BD
CRD#: 36807
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(8/22/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/12/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/3/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/30/2009
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/27/2007
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LF
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
LIGHTSPEED | LIME BROKERAGE LLC | LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369 / SEC#: , 8-52843

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Mailing Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Phone number
(888) 577-3123
Established
Delaware since 08/03/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LIGHTSPEED HOLDINGS LLCDIRECT OWNER
CHUN, YUEN NAFINOP2219603
GIBB, THOMAS ANTHONYPRESIDENT/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER4750905
NAIB, FARID AHMEDCEO6285310
PETZOLD, KEITH WILLIAMCHIEF COMPLIANCE OFFICER2944070
WEDBUSH FINANCIAL SERVICES, LLCDIRECT OWNER

Disclosures

Regulatory Event47

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.

Company Information

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369Morristown, NJ 07960

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