Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Daniel Smith is a financial advisor with over 25 years of experience in the industry. Phillip is currently registered with Wells Fargo Securities, LLC in Charlotte, NC. Previously, Phillip was registered with WELLS FARGO INSTITUTIONAL SECURITIES, LLC, WELLS FARGO BROKERAGE SERVICES, L.L.C., BANC OF AMERICA SECURITIES LLC and NATIONSBANC CAPITAL MARKETS, INC. Phillip holds a variety of licenses and certifications, including Series 7, Series 9, Series 10, Series 24, Series 52TO, Series 53, Series 57TO, Series 72, Series 79TO, Series 99TO, and the SIE. Phillip is registered in multiple states across the United States.
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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2
NC
05/30/2008 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NC
06/30/2009 - 03/05/2015
WELLS FARGO INSTITUTIONAL SECURITIES, LLC (CHARLOTTE NC)
NC
06/30/2009 - 11/06/2009
WELLS FARGO BROKERAGE SERVICES, L.L.C. (CHARLOTTE NC)
NY
08/11/1997 - 05/22/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
03/26/1993 - 05/21/1996
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
BC
Issued 07/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/2002
Series 24 - General Securities Principal Examination
BC
Issued 12/14/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/13/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/09/1997
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/1993
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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