Articles Tagged with Kevin Phillips

Published on:

Kevin PhillipsPublic 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.