Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Douglas Phillips is a financial advisor at Newedge Securities, Inc. located in Stamford, CT. William has been in the financial services industry since 2007. William has passed the Series 7, Series 66, and SIE exams. He is registered in Connecticut, Florida, New York, and Pennsylvania. William has previously worked for J.P. Morgan Securities LLC, UBS Financial Services Inc. and Lehman Brothers Inc.
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.
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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2
CT
11/29/2023 - Present
Newedge Securities, Inc. (STAMFORD CT)
NY
04/13/2010 - 08/17/2023
J.P. MORGAN SECURITIES LLC (New York NY)
NY
09/19/2008 - 04/06/2010
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
09/03/2007 - 10/02/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 09/19/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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