Ryan J. 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.
Ryan J Phillips, who also goes by Ryan Joseph Phillips, Ryan Phillips, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2022. Ryan had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO 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 18, 2024 - July 9, 2025
CANDLEWOOD SECURITIES, LLC
March 1, 2024 - September 16, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
January 10, 2024 - September 16, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
May 19, 2022 - September 25, 2023
EQUITABLE ADVISORS, 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: 9/12/2023
General Securities Representative ExaminationSeries 6TO
Date: 5/19/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CANDLEWOOD SECURITIES, LLC
CRD#: 126042 / SEC#: , 8-65845
Contact information
FINRA licenses (18 States and Territories)
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.
