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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Brenneman is a financial advisor with UBS Financial Services Inc., located in Chandler, TX. Phillip has been in the financial industry for over 20 years, having previously worked for Morgan Stanley and Citigroup Global Markets Inc. Phillip holds a Series 7, 10, 9, 63, 65, and 3 licenses as well as the SIE and Series 99TO exams. Phillip's current firm is a large firm managing over $50 billion in assets for a diverse group of clients that include individuals, businesses, institutions, and investment clubs.
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.
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.
See schedule d - miscellaneous
1
2
NJ
05/28/2014 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
CA
05/13/2011 - 05/20/2014
MORGAN STANLEY (BEVERLY HILLS CA)
TX
07/10/2006 - 04/27/2011
UBS FINANCIAL SERVICES INC. (FT. WORTH TX)
TX
12/21/2000 - 07/25/2006
CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)
IA
Issued 11/04/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/03/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/10/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/05/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/2010
Series 3 - National Commodity Futures Examination
BC
Issued 12/20/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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