Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Walker Sprague is a financial advisor who has been working in the financial industry since 1981. Currently, Phillip Sprague is registered with Oppenheimer & Co. Inc. and has been registered with them since April 2005. Previously, Phillip Sprague was employed with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and THOMSON MCKINNON SECURITIES INC. Phillip Sprague has passed the Series 7, Series 63, Series 65 and the SIE exams. Phillip Sprague specializes in portfolio management for individuals, portfolio management for businesses, portfolio management for pooled investment vehicles, financial planning, pension consulting, and selection of other advisors. Phillip Sprague serves a range of clients including individuals, corporations, high net worth individuals, trusts and estates, and retirement plans. Phillip Sprague is registered in numerous 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
MO
04/20/2005 - Present
Oppenheimer & Co. Inc. (ST. LOUIS MO)
NY
03/27/1989 - 04/04/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/03/1981 - 04/04/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
IA
Issued 10/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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