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Investment Adviser Firm Summary

PHILLIPS & COMPANY SECURITIES INC. (CRD# 35800 / SEC# 8-46896)
Alternate Names: PHILLIPS & COMPANY , PHILLIPS & COMPANY SECURITIES INC. , PHILLIPS AND COMPANY ADVISORS, LLC , VISION FINANCIAL SERVICES, INC.


The investment adviser you have selected is NOT currently registered and is NOT filing reports with the SEC or any state.

(Last Form ADV Filed On 11/05/2013)
This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Terminated 12/31/2013
Alaska Terminated 05/18/2005
Arizona Terminated 03/09/2005
California Terminated 03/08/2005
Colorado Terminated 04/06/2005
Delaware Terminated 07/11/2005
Idaho Terminated 03/03/2005
Illinois Terminated 02/18/2005
Indiana Terminated 03/09/2005
Iowa Terminated 03/09/2005
Kansas Terminated 03/09/2005
Kentucky Terminated 03/09/2005
Missouri Terminated 03/09/2005
Montana Terminated 03/09/2005
Nevada Terminated 03/09/2005
New York Cancelled 03/03/2005
North Carolina Terminated 03/09/2005
North Dakota Terminated 03/16/2005
Ohio Terminated 03/10/2005
Oklahoma Terminated 02/18/2005
Oregon Terminated 03/07/2005
Texas Terminated 03/03/2005
Utah Terminated 03/09/2005
Washington Terminated 03/07/2005
Wisconsin Terminated 03/09/2005

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


Not Currently Notice Filed


EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser