Richard P. Phillips
Professional summary
Richard Paul Phillips is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 9 firms and has passed the Series 63, Series 66, Series 82TO, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Paul Phillips's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2025 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428October 8, 2024 - January 30, 2025
SAN BLAS SECURITIES LLC
March 12, 2018 - April 28, 2023
OBERON SECURITIES, LLC
August 26, 2016 - February 14, 2018
W G SECURITIES, LLC
April 2, 2014 - September 5, 2014
STILLPOINT CAPITAL, LLC
January 15, 2014 - April 3, 2014
FALLBROOK CAPITAL SECURITIES CORP.
August 3, 2013 - December 26, 2013
M&A SECURITIES GROUP, INC.
August 12, 2009 - December 6, 2010
TAYLOR FINANCIAL SERVICES, LLC
October 31, 2006 - January 18, 2007
RBC CAPITAL MARKETS, LLC
July 21, 2006 - January 18, 2007
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/19/2025)
(10/24/2025)
(1/28/2025)
(5/20/2025)
(6/20/2025)
(1/28/2025)
(1/28/2025)
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsFINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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