Philip 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.
Philip Joel Phillips was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1975. Philip had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, PC, Series 7 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
November 9, 2017 - January 17, 2019
MD GLOBAL PARTNERS, LLC
November 8, 2012 - August 25, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
March 5, 2010 - November 14, 2012
ALLIANCEBERNSTEIN L.P.
December 7, 2000 - November 14, 2012
SANFORD C. BERNSTEIN & CO., LLC
August 2, 1995 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
September 26, 1978 - July 10, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/20/1977
AMEX Put and Call ExamCurrent Firm
MD GLOBAL PARTNERS, LLC
CRD#: 140988 / SEC#: , 8-67356
Contact information
FINRA licenses (17 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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