Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Gerald Phillips is a securities professional with over 25 years of experience in the financial industry. John currently works with bnp paribas securities corp. John has held several positions in the industry, including roles at bnp paribas prime brokerage, inc., banc of america securities llc, thomas weisel partners llc, and montgomery securities. John has a broad range of experience in the financial services industry, including securities, investment company products, and variable contracts. John holds a series 7, 6, 63, 27, 99TO and SIE. John is registered to conduct business in all 50 states, the District of Columbia, and Puerto Rico.
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.
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.
1
2
CA
03/16/2018 - Present
BNP Paribas Securities Corp. (SAN FRANCISCO CA)
CA
08/19/2008 - 07/19/2018
BNP PARIBAS PRIME BROKERAGE, INC. (SAN FRANCISCO CA)
CA
03/16/2006 - 10/01/2008
BANC OF AMERICA SECURITIES LLC (SAN FRANCISCO CA)
CA
02/02/2000 - 02/14/2006
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
10/01/1997 - 01/24/2000
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
06/16/1997 - 10/01/1997
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
OH
07/16/1996 - 12/16/1996
MIDWESTERN INVESTMENT CORPORATION (BEACHWOOD OH)
NJ
02/10/1995 - 05/03/1995
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 11/24/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/15/2003
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1996
Series 7 - General Securities Representative Examination
BC
Issued 02/09/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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