Robert N. 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.
Robert Nielson Phillips JR, who also goes by Robert Nelson Phillips Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 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
September 11, 2008 - October 21, 2020
BLBB ADVISORS
September 3, 2008 - December 31, 2017
BURKE, LAWTON, BREWER & BURKE, LLC
December 27, 2000 - September 13, 2008
WALNUT ASSET MANAGEMENT LLC
January 9, 1990 - September 2, 2008
RUTHERFORD, BROWN & CATHERWOOD, LLC
May 9, 1988 - January 8, 1990
W.H. NEWBOLD'S SON & CO., INC.
May 7, 1980 - May 12, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 1979 - June 5, 1980
MOSELEY SECURITIES CORPORATION
Primary Firm SEC Registration
BLBB ADVISORS
CRD#: 139096 / SEC#: 801-65840
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 8
Date: 7/30/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BLBB ADVISORS
CRD#: 139096 / SEC#: 801-65840
Contact information
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,588 |
| AUM (Assets Under Management) | $ 2,739,761,758 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/23/2025 | ||
| 08/30/2024 | ||
| 04/02/2024 | ||
| 11/07/2023 | ||
| 11/02/2023 | ||
| 01/26/2023 |
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.
