Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Thomas Smith is a financial professional with Fidelity Brokerage Services LLC. Philip has been in the financial services industry since January 27, 2022. Philip is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7TO, Series 9, Series 10, and Series 63 licenses. Philip is also registered as a broker-dealer in 53 states and the District of Columbia.
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.
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NC
01/28/2022 - Present
Fidelity Brokerage Services LLC (DURHAM NC)
BC
Issued 02/08/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/24/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/28/2022
Series 7TO - General Securities Representative Examination
BC
Issued 01/20/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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