Natalie T. 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.
Natalie Thao Phillips, who also goes by Thao P Nguyen, Thao Phuong Nguyen, Natalie Thao Nguyen, Natalie Phuong Phillips, Natalie Phillips, was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 2018. Natalie had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
TayDo University
Bachelor of Arts (BA) - English
2010
Experience
October 13, 2022 - October 1, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 10, 2022 - October 1, 2024
FIDELITY BROKERAGE SERVICES LLC
October 14, 2021 - August 23, 2022
WELLS FARGO CLEARING SERVICES, LLC
September 13, 2021 - August 23, 2022
WELLS FARGO CLEARING SERVICES, LLC
November 29, 2018 - December 22, 2020
J.P. MORGAN SECURITIES LLC
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: 9/11/2021
General Securities Representative ExaminationSeries 6TO
Date: 11/29/2018
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
