Philip A. Addington
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.
Philip A. Addington, who also goes by Philip Anthony Addington, Philip Addington, Philip Aguilera, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2011. Philip had worked at 5 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2017 - April 1, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
September 29, 2017 - April 1, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
September 22, 2017 - October 4, 2017
LOMBARD ADVISERS INCORPORATED
September 22, 2017 - October 4, 2017
LOMBARD SECURITIES INCORPORATED
March 9, 2012 - August 10, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2012 - August 10, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 2011 - February 24, 2012
C.K. COOPER & COMPANY, INC.
May 18, 2011 - February 24, 2012
C.K. COOPER & COMPANY, 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
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
