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Ford R. Phillips

KPMG CORPORATE FINANCE LLC
Chicago, IL 60601-6436
Some features on this profile are disabled
CRD#: 4364087
FP

Professional summary

Ford Ronald Phillips II is a registered financial professional currently at KPMG CORPORATE FINANCE LLC located in Chicago, Illinois.

Ford is registered as a RR (Registered Representative) and started their career in finance in 2001. Ford has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Ford Ronald Phillips II's 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, 2012 - Present

KPMG CORPORATE FINANCE LLC

Office #1: 200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436Office #2: 200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436
BD
CRD#: 103973
Chicago, IL
Past

May 16, 2007 - July 3, 2012

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
CHICAGO, IL
Past

April 29, 2003 - April 23, 2007

GIULIANI CAPITAL ADVISORS LLC

BD
CRD#: 111140
CHICAGO, IL
Past

September 24, 2002 - April 24, 2003

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

June 20, 2001 - September 18, 2002

GIULIANI CAPITAL ADVISORS LLC

BD
CRD#: 111140
CHICAGO, IL

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
Alabama
(12/17/2021)
RR
Arizona
(8/22/2012)
RR
Arkansas
(8/22/2012)
RR
California
(8/22/2012)
RR
Colorado
(8/22/2012)
RR
Connecticut
(8/22/2012)
RR
Delaware
(8/22/2012)
RR
District of Columbia
(8/22/2012)
RR
Florida
(8/22/2012)
RR
Georgia
(8/22/2012)
RR
Illinois
(8/22/2012)
RR
Indiana
(8/22/2012)
RR
Iowa
(8/22/2012)
RR
Kentucky
(8/22/2012)
RR
Louisiana
(8/22/2012)
RR
Maryland
(8/22/2012)
RR
Massachusetts
(8/22/2012)
RR
Michigan
(8/22/2012)
RR
Minnesota
(8/22/2012)
RR
Mississippi
(8/22/2012)
RR
Missouri
(8/22/2012)
RR
Nevada
(8/22/2012)
RR
New Jersey
(8/22/2012)
RR
New York
(8/22/2012)
RR
North Carolina
(8/23/2012)
RR
Ohio
(8/22/2012)
RR
Oregon
(8/22/2012)
RR
Pennsylvania
(8/22/2012)
RR
Rhode Island
(8/22/2012)
RR
Texas
(8/22/2012)
RR
Vermont
(8/22/2012)
RR
Virginia
(8/22/2012)
RR
Washington
(8/22/2012)
RR
West Virginia
(8/22/2012)
RR
Wisconsin
(8/22/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 5/24/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/26/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KPMG CORPORATE FINANCE LLC
KPMC CORPORATE FINANCE LLC | KPMG CORPORATE FINANCE LLC

CRD#: 103973 / SEC#: , 8-52462

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

Main Address
200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436
Mailing Address
200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436
Phone number
(312) 665-3100
Established
Delaware since 02/08/2000
Firm type
Limited Liability Company
Fiscal year end
September
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

Direct owners and executive officers

NamePositionCRD#
KPMG LLPOWNER
BROKMEIER, REBECCA EWINGPRESIDENT4704333
IZAGUIRRE, ALFREDOCHIEF COMPLIANCE OFFICER2055065
OZTAN, EROL MURATFINOP, PRINCIPAL FINANCIAL OFFICER5493662

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

KPMG CORPORATE FINANCE LLC

CRD#: 103973Chicago, IL 60601-6436

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