Douglas E. 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.
Douglas Eugene Phillips was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1975. Douglas had worked at 9 firms and has passed the Series 63, Series 65, Series 3, PC, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2004 - December 31, 2018
OXFORD CAPITAL GROUPE
February 25, 2000 - December 8, 2004
OXFORD CAPITAL SECURITIES
February 19, 1997 - April 17, 1997
BIRCHTREE FINANCIAL SERVICES LLC
April 27, 1992 - July 23, 1996
SUNPOINT SECURITIES, INC.
July 12, 1990 - April 1, 1992
EQUITRADE, INC.
August 8, 1989 - May 16, 1990
AMERISTAR CAPITAL MARKETS, INC.
January 24, 1989 - June 9, 1989
PRUDENTIAL EQUITY GROUP, LLC
April 28, 1982 - January 11, 1989
MORGAN STANLEY DW INC.
January 9, 1978 - May 21, 1982
PRUDENTIAL EQUITY GROUP, LLC
March 20, 1975 - January 1, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
OXFORD CAPITAL GROUPE
CRD#: 130172 / SEC#:
Contact information
Red Flags
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