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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Anthony Phillip is a financial advisor with over 30 years of experience in the industry. Michael Anthony Phillip is currently registered with Raymond James & Associates, Inc. and has held previous registrations with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Michael Anthony Phillip specializes in providing financial planning, portfolio management and educational seminars. Michael Anthony Phillip offers a variety of compensation arrangements including fixed fees, commissions, hourly charges, and percentage of assets. Michael Anthony Phillip is registered in multiple states including Arizona, California, Colorado, Florida, Idaho, Indiana, Maryland, Nevada, New Jersey, Ohio, Oregon, Tennessee and Wyoming.
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
CA
12/01/2014 - Present
Raymond James & Associates, Inc. (WESTLAKE VILLAGE CA)
CA
10/22/1990 - 10/28/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OXNARD CA)
IA
Issued 04/06/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/11/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1990
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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