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JEFFREY JON PHILLIPS
CRD#: 2496558
IA
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MORGAN STANLEYCRD#: 149777 1400 Page Mill Road
Palo Alto, CA 94304
Palo Alto, CA 94304
0
Disclosures
29
Years of Experience
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State Registrations
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Arizona 9/24/2012
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New Hampshire 9/24/2012
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Arkansas 9/24/2012
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New Jersey 9/24/2012
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California 6/28/2012
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New York 9/24/2012
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California 6/29/2012
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North Carolina 9/24/2012
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Colorado 9/24/2012
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Ohio 9/24/2012
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Connecticut 9/24/2012
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Oklahoma 9/24/2012
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Delaware 9/24/2012
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Oregon 9/24/2012
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Florida 9/24/2012
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Pennsylvania 9/24/2012
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Georgia 9/24/2012
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South Carolina 9/24/2012
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Hawaii 9/24/2012
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South Dakota 6/17/2021
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Idaho 9/24/2012
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Tennessee 9/24/2012
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Illinois 9/24/2012
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Texas 9/24/2012
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Maryland 9/24/2012
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Texas 2/7/2014
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Massachusetts 9/24/2012
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Utah 9/24/2012
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Michigan 9/24/2012
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Virginia 9/24/2012
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Minnesota 10/12/2022
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Washington 9/24/2012
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Montana 11/21/2023
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West Virginia 9/24/2012
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Nevada 9/24/2012
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Wisconsin 9/24/2012
SRO Registrations
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IA
Registered with this firm since 6/29/2012
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Registered with this firm since 6/28/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/06/2009 - 09/09/2011 | SAN FRANCISCO, CA | |
B | 03/25/2008 - 07/08/2009 | SAN FRANCISCO, CA | |
B | 10/04/2005 - 11/28/2007 | SAN FRANCISCO, CA | |
B | 01/24/2002 - 08/19/2005 | SAN FRANCISCO, CA | |
B | 02/08/2000 - 01/14/2002 | SAN FRANCISCO, CA | |
B | 05/14/1998 - 12/20/1999 | SAN FRANCISCO, CA | |
B | 05/01/1998 - 05/26/1998 | ||
B | 09/06/1994 - 05/01/1998 | MILWAUKEE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.