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John Weldon Phillips

Raymond James Financial Services, Inc.

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About John Weldon Phillips

John Weldon Phillips is a financial advisor with Raymond James Financial Services, Inc. John has been in the financial services industry since 1999. John has a strong background in helping clients with their financial needs. Currently, John is registered with 47 states, the District of Columbia, and the Financial Industry Regulatory Authority (FINRA).

Firm Information

John Phillips is currently registered with Raymond James Financial Services, Inc.. Raymond James Financial Services, Inc. is a Corporation that was formed on September 12, 1973. The firm is registered in 53 states and is also registered with the SEC. The firm has been involved in 125 regulatory events and 76 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

568

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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John Phillips’s Registration & Firm History

NC

12/01/2008 - Present

Raymond James Financial Services, Inc. (Cornelius NC)

NC

01/11/2007 - 08/12/2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)

NC

05/22/2001 - 12/09/2005

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)

MO

10/01/2000 - 04/26/2001

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NC

08/17/2000 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

NY

07/21/1998 - 08/16/2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

11/15/1996 - 12/12/1996

ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)

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Licenses & Designations

BOTH

Issued 10/02/1998

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/19/2018

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/12/2018

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/14/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Weldon Phillips.
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