Phillip R. Trujillo
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.
Phillip Richard Trujillo, who also goes by Phil Trujillo, was a registered financial advisor .
Phillip is a previously registered financial advisor and started their career in finance in 1976. Phillip had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2006 - July 3, 2007
PWCG BROKERAGE, INC.
September 20, 2002 - October 21, 2005
PRIVATE WEALTH COUNSELING GROUP, INC.
January 28, 2000 - December 15, 2005
LEGACY FINANCIAL SERVICES, INC.
January 1, 1999 - September 26, 2003
AMERIPLAN, INC.
May 29, 1992 - February 17, 2000
OSAIC WEALTH, INC.
May 3, 1990 - March 25, 1991
OSAIC WEALTH, INC.
August 25, 1986 - January 18, 1990
PRO-FINANCIAL SECURITIES, INC.
April 23, 1985 - May 12, 1986
CONSOLIDATED INVESTMENT SERVICES, INC.
January 9, 1985 - April 16, 1985
ROTHSCHILD REGISTRY INTERNATIONAL, INC.
April 13, 1983 - May 29, 1984
CONSOLIDATED INVESTMENT SERVICES, INC.
May 5, 1981 - April 7, 1983
HANIFEN, IMHOFF INC.
May 2, 1979 - May 20, 1981
DAIN RAUSCHER INCORPORATED
February 14, 1979 - May 23, 1980
WALL STREET WEST, INC.
March 12, 1976 - October 5, 1978
MUTUAL OF OMAHA INVESTOR SERVICES, 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
Series 1
Date: 3/11/1976
Registered Representative ExaminationCurrent Firm
PWCG BROKERAGE, INC.
CRD#: 5053 / SEC#: , 8-15658
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
