Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Barclay Smith is a financial advisor with over 30 years of experience in the industry. Philip is currently registered with RBC Capital Markets, LLC and holds a Series 7 and Series 63 license. Philip has experience with several firms including FTN Financial Securities Corp, First Southwest Company, Interstate/Johnson Lane Corporation, Morgan Keegan & Company, Inc., and PaineWebber Incorporated. Philip specializes in providing a variety of advisory services including financial planning, pension consulting, educational seminars, and portfolio management. Philip primarily serves high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
05/25/2004 - Present
RBC Capital Markets, LLC (DALLAS TX)
TN
08/03/2001 - 05/24/2004
FTN FINANCIAL SECURITIES CORP (MEMPHIS TN)
TX
01/07/1998 - 07/25/2001
FIRST SOUTHWEST COMPANY (DALLAS TX)
NC
04/26/1996 - 08/28/1997
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
TN
05/11/1995 - 04/25/1996
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NA
11/21/1994 - 03/10/1995
BANK SOUTH SECURITIES CORPORATION
TX
03/24/1993 - 10/17/1994
COASTAL SECURITIES LTD. (HOUSTON TX)
NJ
07/08/1992 - 04/01/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
01/14/1992 - 04/03/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/10/1991 - 07/18/1991
F.N. WOLF & CO., INC.
BC
Issued 06/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/1991
Series 7 - General Securities 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
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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