Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Phillips is a financial advisor with over 30 years of experience in the industry. James is currently registered with Raymond James & Associates, Inc. James is a Registered Representative (Series 7), General Securities Principal (Series 24), and a Uniform Investment Adviser Law Examination (Series 65) qualified individual. Previously, James was with Morgan Keegan & Company, Inc., First Tennessee Brokerage, Inc., AmSouth Investment Services, Inc., J.J.B. Hilliard, W.L. Lyons, Inc., and Edward D. Jones & Co., L.P. James's specializations include working with high-net-worth individuals, corporations, pension and profit sharing plans, insurance companies, banking or thrift institutions, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TN
02/13/2013 - Present
Raymond James & Associates, Inc. (CHATTANOOGA TN)
TN
04/09/2007 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (CHATTANOOGA TN)
TN
05/09/2003 - 03/19/2007
FIRST TENNESSEE BROKERAGE, INC. (CHATTANOOGA TN)
AL
11/16/1994 - 05/07/2003
AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)
KY
09/24/1992 - 05/11/1994
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
MO
10/25/1991 - 06/10/1992
EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)
IA
Issued 04/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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