Thompson 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.
Thompson Sylvester Phillips JR, who also goes by Tom Phillips, was a registered financial professional .
Thompson is a previously registered financial professional and started their career in finance in 1977. Thompson had worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 5, Series 7, Series 14, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2024 - May 13, 2025
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
June 14, 2024 - May 13, 2025
THURSTON SPRINGER ADVISORS
March 20, 2003 - June 28, 2024
T.S. PHILLIPS INVESTMENTS, INC.
April 9, 1990 - June 28, 2024
PHILLIPS CAPITAL ADVISORS, INC.
February 28, 1990 - June 16, 2003
WFG INVESTMENTS, INC.
January 29, 1990 - March 1, 1990
MERIDIAN, DUNHILL & CO., INC.
April 11, 1988 - February 3, 1990
LEHMAN BROTHERS INC.
September 1, 1977 - April 11, 1988
E. F. HUTTON & COMPANY 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 52TO
Date: 6/17/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationCurrent Firm
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
CRD#: 8478 / SEC#: 801-63564, 8-25452
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICES HOLDINGS, LLC | SOLE SHAREHOLDER | |
| COKER, KAREN LE'ELLEN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PARKER, RICHARD WILSON | CEO | 5497397 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / FINOP / PFO / POO/CCO | 4077413 |
| RUDNICK, REGINA MARY | HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
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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