Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip S. Hohn is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 15 years of experience in the industry. Phillip has a Series 66, Series 7, Series 31, and SIE. Phillip is registered with the state of Texas as an Investment Advisor Representative, and is also registered as a Registered Representative in Arizona, Arkansas, California, Colorado, District of Columbia, Florida, Hawaii, Idaho, Massachusetts, Nevada, North Carolina, Ohio, Oregon, and Texas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
11/19/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PLEASANTON CA)
CA
06/01/2009 - 09/13/2011
MORGAN STANLEY SMITH BARNEY (PLEASANTON CA)
CA
06/13/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PLEASANTON CA)
BOTH
Issued 10/04/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 06/12/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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