Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Joseph Phillips is a financial advisor with Vanguard Marketing Corp. He has been in the financial services industry since 2009. William Joseph Phillips is a registered representative with FINRA and has been registered with Vanguard Marketing Corp. since June 27, 2024. William Joseph Phillips holds Series 7, Series 6, Series 63 and Series 66 securities licenses. He is a licensed investment advisor in Minnesota, Georgia, and North Carolina. William Joseph Phillips has worked for several firms during his career, including TIAA-CREF Individual & Institutional Services, LLC, American Express Financial Advisors Inc., IDS Life Insurance Company, Enterprise Fund Distributors, Inc., NYLIFE DISTRIBUTORS INC., NYLIFE SECURITIES INC., GRUNTAL & CO., L.L.C., and THE DREYFUS SERVICE CORPORATION.
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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NC
06/27/2024 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
NC
09/26/2013 - 08/16/2016
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
NC
03/24/2005 - 10/18/2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
MN
05/05/2003 - 08/11/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/05/2003 - 08/11/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
GA
02/05/2001 - 08/08/2002
ENTERPRISE FUND DISTRIBUTORS, INC. (ATLANTA GA)
NJ
06/07/2000 - 02/06/2001
NYLIFE DISTRIBUTORS INC. (JERSEY CITY NJ)
NY
06/07/2000 - 02/06/2001
NYLIFE SECURITIES INC. (NEW YORK NY)
NY
07/23/1998 - 01/20/1999
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
03/06/1996 - 06/18/1998
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
BOTH
Issued 06/19/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/27/2024
Series 7TO - General Securities Representative Examination
BC
Issued 04/25/2024
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2000
Series 7 - General Securities Representative Examination
BC
Issued 10/24/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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