Philip A. Clough
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 A Clough, who also goes by Philip Andrew Clough, Phillip A Clough, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1976. Philip had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 5, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2007 - July 23, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2007 - July 23, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2001 - August 30, 2007
CITIGROUP GLOBAL MARKETS INC.
February 5, 2001 - August 30, 2007
CITIGROUP GLOBAL MARKETS INC.
July 11, 1991 - February 26, 2001
FIDELITY BROKERAGE SERVICES LLC
January 1, 1991 - July 11, 1991
AMERIPRISE ADVISOR SERVICES, INC.
June 6, 1990 - June 21, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 6, 1990 - June 21, 1991
EQUITABLE ADVISORS, LLC
June 6, 1989 - June 29, 1990
MORGAN STANLEY DW INC.
February 8, 1988 - November 22, 1988
TUCKER ANTHONY INCORPORATED
October 23, 1986 - February 18, 1988
UBS FINANCIAL SERVICES INC.
January 23, 1981 - November 3, 1986
MORGAN STANLEY DW INC.
September 26, 1978 - February 12, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 8
Date: 9/7/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
