Phillip M. Caballero

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CRD#: 4272433

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.

Phillip Michael Caballero was a registered financial professional .

Phillip is a previously registered financial professional and started their career in finance in 2001. Phillip had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 9, 2023 - December 19, 2024

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

LAKE QUIVIRA, KS

Past

December 1, 2022 - December 19, 2024

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

June 3, 2019 - September 28, 2022

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

IRVINE, CA

Past

August 31, 2018 - May 31, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Past

April 2, 2012 - October 4, 2017

CAMPBELL FINANCIAL SERVICES, LLC

CRD#: 42953

BALTIMORE, MD

Past

June 3, 2009 - December 31, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

December 7, 2006 - May 20, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 30, 2001 - November 6, 2006

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/9/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/28/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/25/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/23/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

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.

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Advisor Monitoring

Firm Stability Insights

Phillip M. Caballero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VP DISTRIBUTORS LLC

GRIFFIN CAPITAL SECURITIES, LLC

FORESTERS FINANCIAL SERVICES, INC.

CAMPBELL FINANCIAL SERVICES, LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

COREBRIDGE CAPITAL SERVICES, INC.

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/9/2023

Series 63

Date: 2/28/2002

SIE

Date: 10/1/2018

Series 3

Date: 3/25/2013

Series 7

Date: 4/23/2012

Series 6

Date: 1/29/2001

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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