Craig S. 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.
Craig Scott Phillips was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1976. Craig had worked at 9 firms and has passed the Series 63, SIE, Series 7 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 3, 2009 - January 24, 2017
BLACKROCK INVESTMENTS, LLC
August 14, 2008 - March 5, 2013
BLACKROCK CAPITAL MARKETS, LLC
March 17, 1994 - May 1, 2006
MORGAN STANLEY MARKET PRODUCTS INC.
March 16, 1994 - May 1, 2006
MORGAN STANLEY & CO. LLC
October 18, 1984 - March 15, 1994
CREDIT SUISSE SECURITIES (USA) LLC
June 26, 1984 - November 16, 1984
LEHMAN BROTHERS INC.
December 16, 1977 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
October 21, 1976 - December 16, 1977
KUHN LOEB & CO. INCORPORATED
October 21, 1976 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
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
Current Firm
BLACKROCK INVESTMENTS, LLC
CRD#: 38642 / SEC#: , 8-48436
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK FINANCIAL MANAGEMENT, INC | SOLE SHAREHOLDER | 107105 |
| DEVICO, JOSEPH GEORGE | MANAGER | 2808563 |
| HEROLD, MEREDITH L | MANAGER | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | CHIEF EXECUTIVE OFFICER AND MANAGER | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | MANAGER | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| VILLACORTA, ROLAND ESTEBAN | MANAGER | 2566073 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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