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GP

Gerard A. Phillips

AMERICAN TRUST INVESTMENT SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 814128
GP

Professional summary

Gerard Alexander Phillips is a registered financial professional currently at AMERICAN TRUST INVESTMENT SERVICES, INC. located in Chicago, Illinois.

Gerard is registered as a RR (Registered Representative) and started their career in finance in 1975. Gerard has worked at 12 firms and has passed the Series 65, Series 63, SIE, PC and Series 7 exams.

top-8-questions

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 Gerard Alexander 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

October 17, 2019 - Present

AMERICAN TRUST INVESTMENT SERVICES, INC.

Office #1: 230 W. Monroe Suite 300, Chicago, IL 60606
BD
CRD#: 3001
Chicago, IL
Past

April 13, 2012 - December 6, 2019

FOREST SECURITIES,INC.

BD
CRD#: 16255
Hillside, IL
Past

November 18, 2009 - April 23, 2012

BIRKELBACH INVESTMENT SECURITIES, INC.

BD
CRD#: 11490
CHICAGO, IL
Past

November 12, 2003 - November 18, 2009

SANCTUARY SECURITIES, INC.

BD
CRD#: 205
MIAMI, FL
Past

December 2, 2002 - December 2, 2003

HOWE BARNES HOEFER & ARNETT, INC.

BD
CRD#: 2240
CHICAGO, IL
Past

June 16, 1998 - September 12, 2002

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

May 11, 1998 - June 17, 1998

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 7, 1994 - May 11, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

May 26, 1989 - June 10, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

April 17, 1978 - June 17, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

February 28, 1978 - May 11, 1978

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

October 23, 1975 - February 28, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466

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
(1/14/2020)
RR
Illinois
(1/9/2020)
RR
Indiana
(1/13/2020)
RR
Minnesota
(1/10/2020)
RR
New York
(1/24/2020)
RR
South Carolina
(4/6/2020)
RR
Texas
(1/6/2020)
RR
Wisconsin
(2/19/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/28/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/29/1980
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
PC
Date: 2/26/1980
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 10/18/1975
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AT
AMERICAN TRUST INVESTMENT SERVICES, INC.
AMERICAN TRUST INVESTMENT SERVICES ADVISORY | PEERSON & COMPANY, INC. | PEERSON & COMPANY INVESTMENT SERVICES | AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001 / SEC#: , 8-14394

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
910 S El Camino Real Suite 200, Whiting, IN 46394
Mailing Address
9040 Town Center Parkway, Lakewood Ranch, FL 34202
Phone number
(949) 524-2742
Established
Indiana since 12/23/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CCIG ACQUISITION COMPANY, LLCOWNER
DEVER, JAMES FRANCISCEO1840373
KESSLER, KRISTOPHER CHARLESPRESIDENT4543640
LIPPY, IAN EDWARDCHIEF OPERATING OFFICER6037326
ONESTO, RICHARD ERNESTFINANCIAL OPERATIONS PRINCIPAL2453096
SLAVINSKY, CHARLES JOSEPHCCO/MSRB/ROP2807658

Disclosures

Regulatory Event5
Arbitration1

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

AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001Chicago, IL 60606

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