John E. 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.
John Edward Phillips JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2013 - July 5, 2016
LEGEND ADVISORY, LLC
June 4, 2013 - June 5, 2013
LEGEND ADVISORY, LLC
June 4, 2013 - July 5, 2016
LEGEND EQUITIES CORPORATION
April 9, 2010 - June 6, 2013
MSI FINANCIAL SERVICES, INC.
January 24, 2001 - February 3, 2005
MSI FINANCIAL SERVICES, INC.
January 19, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 19, 2001 - June 6, 2013
MSI FINANCIAL SERVICES, INC.
June 28, 2000 - November 27, 2000
IDS LIFE INSURANCE COMPANY
June 28, 2000 - November 27, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
January 5, 2000 - May 2, 2000
PAN-AMERICAN FINANCIAL ADVISERS
September 21, 1990 - December 31, 1999
ARAGON FINANCIAL SERVICES, INC.
February 4, 1988 - March 4, 1989
MML INVESTORS SERVICES, LLC
February 26, 1987 - January 28, 1988
MONY SECURITIES CORPORATION
February 18, 1982 - January 13, 1987
PRUCO SECURITIES, LLC.
December 14, 1977 - January 15, 1987
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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: 12/5/1977
Registered Representative ExaminationSeries 2
Date: 7/9/1974
Non-Member General Securities ExaminationCurrent Firm
LEGEND ADVISORY, LLC
CRD#: 104761 / SEC#: 801-13887
Contact information
Red Flags
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