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SP

Stephanie Phillips

WILMINGTON CAPITAL SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 734485
SP

Professional summary

Stephanie Phillips is a registered financial professional currently at WILMINGTON CAPITAL SECURITIES, LLC located in New York, New York.

Stephanie is registered as a RR (Registered Representative) and started their career in finance in 1981. Stephanie has worked at 14 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephanie Phillips's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 28, 2015 - Present

WILMINGTON CAPITAL SECURITIES, LLC

Office #1: 1140 Avenue Of The Americas Suite 1047, New York, NY 10036
RIA
BD
CRD#: 133839
New York, NY
Past

January 19, 2017 - November 22, 2017

MARTEL CAPITAL, LLC

BD
CRD#: 159049
NEW YORK, NY
Past

April 10, 2012 - August 11, 2015

FOREFRONT CAPITAL MARKETS LLC

BD
CRD#: 151812
NEW YORK, NY
Past

August 15, 2002 - April 9, 2012

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
NEW YORK, NY
Past

August 26, 1999 - September 6, 2002

WEATHERLY SECURITIES CORPORATION

BD
CRD#: 11081
NEW YORK, NY
Past

January 7, 1992 - September 2, 1999

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

December 24, 1987 - January 6, 1992

BAIRD, PATRICK & CO., INC.

BD
CRD#: 1149
FAIRFIELD, NJ
Past

November 4, 1985 - December 15, 1987

STEINBERG & LYMAN

BD
CRD#: 15704
Past

February 21, 1985 - November 8, 1985

BROADCHILD SECURITIES CORP.

BD
CRD#: 7702
Past

December 10, 1983 - December 27, 1984

BUCKINGHAM SECURITIES, LTD.

BD
CRD#: 10570
Past

May 19, 1983 - November 14, 1983

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
Past

January 22, 1982 - November 17, 1982

JII SECURITIES INC.

BD
CRD#: 406
Past

November 2, 1981 - January 15, 1982

ROONEY, PACE INC.

BD
CRD#: 6218
Past

June 23, 1981 - September 12, 1981

JOHN MUIR & CO.

BD
CRD#: 2837

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)
New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)
New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/28/2015)
RR
Colorado
(7/28/2015)
RR
Connecticut
(9/1/2020)
RR
Florida
(7/28/2015)
RR
New Jersey
(7/28/2015)
RR
New York
(7/28/2015)
RR
South Carolina
(7/14/2023)
RR
Texas
(2/26/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/13/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/5/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/25/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)
New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)
New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
666 Old Country Road Suite 505, Garden City, NY 11530
Mailing Address
666 Old Country Road Suite 505, Garden City, NY 11530
Phone number
(516) 750-6200
Established
New York since 11/18/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
6

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WILMINGTON CAPITAL SECURITIES, LLC (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
WILMINGTON CAPITAL GROUP, INC.PARENT COMPANY
COLUMBO, JOSEPH DONALDCHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER823524
DORUSHKIN, RONALD BRETTCEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER2245185
LEE, DENNIS PETERCHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL6008539
MIKES, JOHNPRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR2458544
VITTOR, GREG TODDFINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER1864219

Regulatory assets under management

Total Number of Accounts279
AUM (Assets Under Management)$ 258,250,437

Disclosures

Regulatory Event2

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.

Company Information

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839New York, NY 10036

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