Dickinson B. 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.
Dickinson Barksdale Phillips, who also goes by Dick Phillips, was a registered financial professional .
Dickinson is a previously registered financial professional and started their career in finance in 1976. Dickinson had worked at 4 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2008 - December 31, 2019
PALLADIUM REGISTERED INVESTMENT ADVISORS
June 13, 2002 - January 24, 2008
BB&T ASSET MANAGEMENT, INC.
March 26, 1979 - March 4, 1985
A. G. EDWARDS & SONS, INC.
August 10, 1976 - January 2, 1979
HORNER, BARKSDALE & CO.
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
PALLADIUM REGISTERED INVESTMENT ADVISORS
CRD#: 145076 / SEC#: 801-68408
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,579 |
| AUM (Assets Under Management) | $ 3,370,776,796 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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