Benjamin 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.
Benjamin Mark Phillips, who also goes by Ben Phillips, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2021. Benjamin had worked at 3 firms and has passed the Series 66, Series 63, Series 6TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2022 - May 24, 2023
CONNECTUS WEALTH
February 16, 2022 - September 19, 2022
NFSG CORPORATION
February 8, 2021 - September 19, 2022
NEWBRIDGE SECURITIES CORPORATION
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 2/8/2021
General Securities Representative ExaminationCurrent Firm
CONNECTUS WEALTH
CRD#: 310912 / SEC#: 801-119970
Contact information
Regulatory assets under management
| Total Number of Accounts | 12,022 |
| AUM (Assets Under Management) | $ 8,674,470,008 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2024 | ||
| 10/18/2023 | ||
| 12/22/2022 |
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.
