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Phillip Steven Barnett

East Wind Securities, LLC

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About Phillip Steven Barnett

Phillip Steven Barnett is a licensed securities professional with over 30 years of experience in the financial industry. Phillip is currently registered with East Wind Securities, LLC and holds the Series 7, Series 24, Series 63, Series 79TO, and SIE licenses. Phillip has previously held positions with BA Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Securities LLC, and Morgan Stanley & Co. Incorporated. Phillip specializes in a range of financial services, including investment banking.

Firm Information

Phillip Barnett is currently registered with East Wind Securities, LLC. East Wind Securities, LLC is a Limited Liability Company formed on April 8, 2008. The firm is registered with the Securities and Exchange Commission and in 12 states including California, Connecticut, Florida, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Ohio, Pennsylvania, and Texas.

Not reported

Assets Under Management

Not reported

Total Clients

3

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Phillip Barnett’s Registration & Firm History

NY

04/16/2018 - Present

East Wind Securities, LLC (NEW YORK NY)

PA

11/10/2014 - 10/31/2016

BA SECURITIES, LLC (W. CONSHOHOCKEN PA)

NY

01/02/2009 - 10/02/2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

08/01/2008 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

01/02/1991 - 07/28/2008

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/09/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/04/1999

Series 24 - General Securities Principal 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 12/12/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Phillip Steven Barnett.
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