PR
Phillip R. Rollins
CAIS CAPITAL LLC
NEW YORK, NY 10022
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CRD#: 5703580
PR
Professional summary
Phillip Richard Rollins is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 2010. Phillip has worked at 4 firms and has passed the Series 66, SIE, Series 31 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 Phillip Richard Rollins'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
April 6, 2019 - Present
CAIS CAPITAL LLC
Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022BD
CRD#: 154512
NEW YORK, NY
Past
July 24, 2014 - March 28, 2019
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
NEW YORK, NY
Past
July 23, 2014 - March 28, 2019
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
October 20, 2010 - July 22, 2014
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
September 24, 2010 - July 22, 2014
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
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(9/10/2024)
RR
Alaska(9/10/2024)
RR
Arizona(9/10/2024)
RR
Arkansas(9/10/2024)
RR
California(1/9/2024)
RR
Colorado(9/10/2024)
RR
Connecticut(9/10/2024)
RR
Delaware(9/10/2024)
RR
District of Columbia(9/10/2024)
RR
Florida(9/10/2024)
RR
Georgia(9/10/2024)
RR
Hawaii(9/10/2024)
RR
Idaho(9/10/2024)
RR
Illinois(9/10/2024)
RR
Indiana(9/10/2024)
RR
Iowa(9/10/2024)
RR
Kansas(9/10/2024)
RR
Kentucky(9/10/2024)
RR
Louisiana(9/10/2024)
RR
Maine(9/10/2024)
RR
Maryland(9/10/2024)
RR
Massachusetts(9/10/2024)
RR
Michigan(9/10/2024)
RR
Minnesota(9/10/2024)
RR
Mississippi(9/10/2024)
RR
Missouri(9/10/2024)
RR
Montana(9/10/2024)
RR
Nebraska(9/10/2024)
RR
Nevada(9/10/2024)
RR
New Hampshire(9/10/2024)
RR
New Jersey(9/10/2024)
RR
New Mexico(9/10/2024)
RR
New York(4/6/2019)
RR
North Carolina(9/10/2024)
RR
North Dakota(9/10/2024)
RR
Ohio(9/10/2024)
RR
Oklahoma(9/10/2024)
RR
Oregon(9/10/2024)
RR
Pennsylvania(1/9/2024)
RR
Rhode Island(9/10/2024)
RR
South Carolina(9/10/2024)
RR
South Dakota(9/10/2024)
RR
Tennessee(9/10/2024)
RR
Texas(1/9/2024)
RR
Utah(9/10/2024)
RR
Vermont(9/10/2024)
RR
Virginia(9/10/2024)
RR
Washington(9/10/2024)
RR
West Virginia(9/10/2024)
RR
Wisconsin(9/10/2024)
RR
Wyoming(9/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CC
CAIS CAPITAL LLC
CAIS CAPITAL LLC
CRD#: 154512 / SEC#: , 8-68646
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Mailing Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Phone number
(212) 300-9350
Established
Delaware since 07/27/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL INTEGRATION SYSTEMS LLC | PARENT/OWNER | |
| BROWN, MATTHEW CRAWFORD | CEO/MEMBER/EXECUTIVE REP. | 2160159 |
| COLLINS, MICHAEL PATRICK | CCO | 5366193 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| PARISE, JANICE DRU | FINOP/PFO | 2338583 |
| PREMSELAAR, MARC KLEIN | SENIOR MANAGING DIRECTOR | 5395973 |
| SHANNON, TIMOTHY BRIAN | PRESIDENT | 4461906 |
| WALKER, BRADLEY JAY | SENIOR MANAGING DIRECTOR | 5000838 |
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.
