Jacob M. 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.
Jacob Michael Phillips, who also goes by Jacob M Phillips, Jacob M. Phillips, Jacob Phillips, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2010. Jacob had worked at 4 firms and has passed the Series 65, 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
June 20, 2023 - January 17, 2025
FINALIS SECURITIES LLC
May 12, 2014 - July 26, 2022
FIRST TRUST ADVISORS LP
February 11, 2014 - July 26, 2022
FIRST TRUST PORTFOLIOS L.P.
December 6, 2010 - February 13, 2014
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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