Matthew 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.
Matthew Bianco Phillips, who also goes by Matthew Bianco Phillips, Matthew Phillips, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2010. Matthew had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2023 - August 16, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 13, 2023 - August 16, 2024
FIDELITY BROKERAGE SERVICES LLC
March 31, 2021 - November 17, 2022
MOORS & CABOT, INC.
March 31, 2021 - November 17, 2022
MOORS & CABOT, INC.
July 29, 2016 - March 31, 2021
KESTRA ADVISORY SERVICES, LLC
July 20, 2016 - March 31, 2021
KESTRA INVESTMENT SERVICES, LLC
May 20, 2016 - July 21, 2016
SII INVESTMENTS, INC.
May 19, 2016 - July 21, 2016
SII INVESTMENTS, INC.
September 21, 2012 - March 16, 2016
CHARLES SCHWAB & CO., INC.
November 17, 2010 - March 16, 2016
CHARLES SCHWAB & CO., INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
