Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phyllis? Claim Your ProfilePhyllis Knowles is a financial professional with over 30 years of experience in the securities industry. Phyllis has held various positions at several firms, including Southwest Securities, Inc., TD Ameritrade, Inc., and now Charles Schwab & Co., Inc. Phyllis has a broad range of experience and holds several licenses including Series 7, 6, 22, 10, 9, 14, 24, 63, 52TO, 99TO, and the SIE. Phyllis specializes in financial planning and offers asset-based fees for wrap programs. Phyllis is currently registered in Texas and is a member of FINRA.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CA
03/23/2021 - Present
Charles Schwab & CO., Inc. (San Francisco CA)
NE
02/09/2012 - 10/20/2021
TD AMERITRADE, INC. (OMAHA NE)
TX
01/18/2012 - 10/20/2021
TD AMERITRADE CLEARING, INC. (FORT WORTH TX)
TX
11/17/2000 - 03/09/2010
SWS FINANCIAL SERVICES (DALLAS TX)
TX
09/02/1998 - 03/09/2010
SOUTHWEST SECURITIES, INC. (DALLAS TX)
TX
09/12/2002 - 11/01/2004
MAY FINANCIAL CORPORATION (DALLAS TX)
TX
09/13/2002 - 12/02/2003
MYDISCOUNTBROKER.COM (DALLAS TX)
TX
10/03/2001 - 12/02/2003
SOUTHWEST CLEARING CORP. (DALLAS TX)
TX
08/10/1992 - 09/02/1998
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
TX
05/26/1992 - 07/01/1992
KAVANAUGH SECURITIES, INC. (DALLAS TX)
AZ
06/18/1989 - 06/01/1992
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NA
02/03/1988 - 06/18/1989
SOUTHMARK FINANCIAL SERVICES, INC.
NA
12/02/1986 - 12/08/1987
CARNEGIE SECURITIES CORPORATION
NA
09/01/1987 - 10/14/1987
BOETTCHER & COMPANY, INC.
NA
06/18/1987 - 09/01/1987
LOVETT MITCHELL WEBB & GARRISON, INC.
NA
09/17/1986 - 10/01/1986
WATSON & TAYLOR INVESTMENTS INC.
NA
02/26/1986 - 04/10/1986
CHANCELLOR CAPITAL CORPORATION
NA
11/09/1984 - 12/11/1985
HALL SECURITIES CORPORATION
BC
Issued 09/17/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/2000
Series 14 - Compliance Officer Examination
BC
Issued 12/06/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/04/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/11/1992
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1991
Series 7 - General Securities Representative Examination
BC
Issued 11/06/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/25/1984
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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