Phillip R. White
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 Ray White, who also goes by Phillip Ray White, Phillip White, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1978. Phillip had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 7, Series 52, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2023 - June 25, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
November 3, 2023 - June 25, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 2022 - November 3, 2023
COMERICA SECURITIES
June 17, 2022 - November 3, 2023
COMERICA SECURITIES
August 7, 2013 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 7, 2013 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2009 - June 26, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - June 26, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 8, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 2003 - November 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 14, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 13, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 30, 1982 - January 24, 1989
THOMSON MCKINNON SECURITIES INC.
November 26, 1979 - August 23, 1982
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1979 - December 16, 1979
LANDMARK INVESTMENTS, INC.
June 13, 1978 - April 5, 1979
TEXAS STATE SECURITIES, INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
Series 15
Date: 11/17/1995
Foreign Currency Options ExaminationSeries 8
Date: 7/3/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
