Mark K. Phillips
Professional summary
Mark Kevin Phillips, who also goes by Mark K Phillips, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Highlands Ranch, Colorado and NYLIFE SECURITIES LLC located in Highlands Ranch, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Mark has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Kevin Phillips's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2007 - Present
EAGLE STRATEGIES LLC
September 9, 1996 - Present
NYLIFE SECURITIES LLC
March 31, 1995 - August 9, 1996
PRINCIPAL SECURITIES, INC.
January 23, 1992 - April 11, 1995
BMA FINANCIAL SERVICES, INC.
March 9, 1981 - July 18, 1990
FBL MARKETING SERVICES, LLC
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/12/2002)
(9/9/1996)
(3/6/2007)
(2/7/2002)
Exams
FINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
