Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Harrington is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 12,500 licensed agents. Phillip has been in the financial services industry since 2000 and has held a variety of roles at various firms. Phillip has been registered with Merrill Lynch since 2014. Phillip has experience working with a variety of clients, including individuals, corporations, and charitable organizations. Phillip holds several licenses and certifications, including Series 7, 63, 66, 24, 4, 52TO, 53, and 9. Phillip's experience and expertise allow him to provide a variety of financial services to his clients.
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
SC
07/08/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SPARTANBURG SC)
NC
07/22/2013 - 06/23/2014
WELLS FARGO FUNDS DISTRIBUTOR, LLC (CHARLOTTE NC)
NC
10/23/2009 - 07/01/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
05/17/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
03/27/2006 - 05/14/2007
HEWITT FINANCIAL SERVICES LLC (CHARLOTTE NC)
AL
09/06/2005 - 03/28/2006
COLONIAL BROKERAGE, INC. (MONTGOMERY AL)
NJ
08/14/2000 - 09/01/2005
HARRISDIRECT LLC (JERSEY CITY NJ)
BOTH
Issued 11/10/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 8/23/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 6/29/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 6/8/2007
Series 4 - Registered Options Principal Examination
BC
Issued 7/31/2006
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/12/2000
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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