Sean L. 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.
Sean Lovance Phillips was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2017. Sean had worked at 3 firms and has passed the Series 63, SIE and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2021 - April 25, 2022
CHAPWOOD SECURITIES, INC.
January 30, 2020 - August 6, 2020
REEF SECURITIES, INC.
July 2, 2019 - August 30, 2019
REEF SECURITIES, INC.
October 30, 2017 - June 19, 2018
TEXAS SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CHAPWOOD SECURITIES, INC.
CRD#: 154376 / SEC#: , 8-68632
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
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.
