DP
David S. Phillips
ARTISAN PARTNERS DISTRIBUTORS LLC
Milwaukee, WI 53202
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CRD#: 5028228
DP
Professional summary
David Sterne Phillips is a registered financial professional currently at ARTISAN PARTNERS DISTRIBUTORS LLC located in Milwaukee, Wisconsin.
David is registered as a RR (Registered Representative) and started their career in finance in 2005. David has worked at 2 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view David Sterne Phillips'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®
NoneExperience
Current
September 27, 2019 - Present
ARTISAN PARTNERS DISTRIBUTORS LLC
Office #1: 875 E. Wisconsin Avenue Suite 800, Milwaukee, WI 53202BD
CRD#: 45446
Milwaukee, WI
Past
November 28, 2005 - March 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SARASOTA, FL
Past
November 2, 2005 - March 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SARASOTA, FL
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(9/30/2019)
RR
Alaska(9/30/2019)
RR
Arizona(9/30/2019)
RR
Arkansas(9/30/2019)
RR
California(9/30/2019)
RR
Colorado(9/27/2019)
RR
Connecticut(9/30/2019)
RR
Delaware(9/30/2019)
RR
District of Columbia(9/27/2019)
RR
Florida(9/27/2019)
RR
Georgia(9/30/2019)
RR
Hawaii(9/30/2019)
RR
Idaho(9/30/2019)
RR
Illinois(9/30/2019)
RR
Indiana(9/30/2019)
RR
Iowa(9/30/2019)
RR
Kansas(9/30/2019)
RR
Kentucky(9/30/2019)
RR
Louisiana(9/27/2019)
RR
Maine(9/30/2019)
RR
Maryland(9/27/2019)
RR
Massachusetts(9/30/2019)
RR
Michigan(9/30/2019)
RR
Minnesota(9/30/2019)
RR
Mississippi(9/30/2019)
RR
Missouri(9/30/2019)
RR
Montana(9/30/2019)
RR
Nebraska(9/30/2019)
RR
Nevada(9/30/2019)
RR
New Hampshire(9/30/2019)
RR
New Jersey(9/30/2019)
RR
New Mexico(9/30/2019)
RR
New York(9/30/2019)
RR
North Carolina(9/30/2019)
RR
North Dakota(9/30/2019)
RR
Ohio(9/27/2019)
RR
Oklahoma(9/30/2019)
RR
Oregon(9/30/2019)
RR
Pennsylvania(9/30/2019)
RR
Puerto Rico(9/27/2019)
RR
Rhode Island(9/30/2019)
RR
South Carolina(9/30/2019)
RR
South Dakota(9/30/2019)
RR
Tennessee(9/30/2019)
RR
Texas(9/30/2019)
RR
Utah(9/30/2019)
RR
Vermont(9/30/2019)
RR
Virgin Islands(9/30/2019)
RR
Virginia(9/30/2019)
RR
Washington(9/30/2019)
RR
West Virginia(9/30/2019)
RR
Wisconsin(9/30/2019)
RR
Wyoming(9/30/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/27/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AP
ARTISAN PARTNERS DISTRIBUTORS LLC
ARTISAN DISTRIBUTORS LLC | ARTISAN PARTNERS DISTRIBUTORS LLC
CRD#: 45446 / SEC#: , 8-51043
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
875 E. Wisconsin Avenue Suite 800, Milwaukee, WI 53202
Mailing Address
875 E. Wisconsin Avenue Suite 800, Milwaukee, WI 53202
Phone number
(414) 390-6100
Established
Wisconsin since 12/12/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTISAN PARTNERS HOLDINGS LP | SOLE MEMBER OF LLC | |
| DEMSKI, JILL MARIE | CHIEF COMPLIANCE OFFICER | 4313464 |
| HAMMAN, JAMES STEPHEN JR | VICE PRESIDENT & SECRETARY | 2767492 |
| KREIN, CHRISTOPHER JON | VICE PRESIDENT | 4534130 |
| RAMIREZ, GREGORY KENNETH | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3094595 |
| VON HOFF, RYAN GEORGE | VICE PRESIDENT, TREASURER AND CHIEF FINANCIAL OFFICER | 7169306 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ARTISAN PARTNERS DISTRIBUTORS LLC
CRD#: 45446Milwaukee, WI 53202TRUST BUT VERIFY
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