Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that Arizona-based Securities America broker/adviser Kevin Phillips is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Phillips (CRD# 1591468).
Kevin Phillips has spent 30 years in the securities industry and has been registered with Securities America in Phoenix, Arizona since February 2017. Previous registrations include JW Cole Financial in Phoenix, Arizona (2013-2017); Financial Advisors of America in Phoenix, Arizona (2010-2013); Woodbury Financial Services in Phoenix, Arizona (2007-2010); New England Securities in Phoenix, Arizona (2003-2007); New England Securities in New York, New York (2000-2003); 1717 Capital Management Company in Newark, Delaware (1997-2000); New England Securities in New York, New York (1991-1997); and MML investors Services in Springfield, Massachusetts (1988-1991). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 18, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1988; Series 7 (General Securities Representative Examination), which he obtained on November 24, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 15, 1988. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Colorado, Florida, Georgia, Illinois, Iowa, Michigan, Minnesota, Montana, New Mexico, Oklahoma, Oregon, Pennsylvania, Texas, and Wisconsin.
According to his BrokerCheck report, he has received one pending customer complaint, one closed customer complaint, and one denied customer complaint.
In October 2017 a customer alleged Kevin Phillips, while employed at JW Cole Financial, misrepresented the nature of a real estate investment trust product. The customer sought $40,000 in damages in the complaint, which was closed.
In April 2017 a customer alleged Kevin Phillips, while employed at JW Cole Financial, recommended unsuitable investments involving real estate investment trusts and an energy sector investment. The customer is seeking $300,000 in damages in the pending complaint.
In 2001 a customer alleged Kevin Phillips, while employed at New England Securities, misrepresented investments in mutual funds and did not disclose certain fees. The customer sought more than $21,800 in damages in the complaint, which was denied
If you have lost money investing with Kevin Phillips, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.