Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Farmer is a financial advisor with Aegis Capital Corp. Phillip has been a registered representative for over 30 years and is active in the investment industry since 1993. Phillip is registered in 17 states. Phillip is also an Investment Advisor Representative and is active in 13 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.
Comprehensive financial plans to help you achieve your personal and business 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.
A percentage of the total value of assets under management is charged.
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2
DE
09/23/2021 - Present
Aegis Capital Corp. (Newark DE)
DE
12/07/2015 - 08/04/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WILMINGTON DE)
DE
02/17/2009 - 01/06/2016
UBS FINANCIAL SERVICES INC. (GREENVILLE DE)
DE
04/02/2007 - 02/18/2009
MORGAN STANLEY & CO. INCORPORATED (WILMINGTON DE)
DE
07/31/2000 - 04/02/2007
MORGAN STANLEY DW INC. (WILMINGTON DE)
NY
03/06/1995 - 08/03/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/12/1993 - 03/24/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/21/1992 - 03/30/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 08/03/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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