Phillip B. Isan
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.
Phillip B Isan was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 2010. Phillip had worked at 3 firms and has passed the Series 66, 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
October 29, 2018 - April 11, 2022
GREAT POINT CAPITAL LLC
June 30, 2014 - November 9, 2016
CETERA ADVISORS LLC
June 27, 2014 - November 9, 2016
CETERA ADVISORS LLC
February 9, 2010 - July 1, 2014
EDWARD JONES
January 26, 2010 - July 1, 2014
EDWARD JONES
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
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
