Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Fuller has been in the financial services industry for over 20 years. Philip is currently registered with Wells Fargo Clearing Services, LLC in St. Louis, Missouri and Charlotte, North Carolina. Philip has previously been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, TIAA-CREF Individual & Institutional Services, LLC, BANC OF AMERICA INVESTMENT SERVICES, INC., SYNERGY INVESTMENT GROUP, LLC, RBC CENTURA SECURITIES, INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC., IDS LIFE INSURANCE COMPANY, and PRUCO SECURITIES CORPORATION. Philip holds the Series 6, 7, 9, 10, 63, 65, and 66 licenses as well as the SIE. Philip has 11 approved securities registrations. Philip specializes in providing financial planning, investment consulting, and portfolio management services to both individuals and businesses.
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.
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.
Investment consulting services to institutional clients
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
MO
02/17/2020 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
NC
11/20/2013 - 01/02/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
09/27/2012 - 10/30/2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NC
10/23/2009 - 07/03/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
12/15/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
SC
01/10/2006 - 10/26/2006
SYNERGY INVESTMENT GROUP, LLC (GREENVILLE SC)
NC
06/13/2003 - 01/04/2006
RBC CENTURA SECURITIES, INC. (KANNAPOLIS NC)
MN
10/25/2002 - 03/27/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/25/2002 - 03/27/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NJ
09/26/2000 - 10/08/2002
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 02/26/2014
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/02/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/15/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2002
Series 7 - General Securities Representative Examination
BC
Issued 09/25/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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