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Detailed Report
Philip E Wise
PHILIP E WISE, PHILIP EDWARD WISE
CRD#: 2749953
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 824 A1A N
PONTE VEDRA BEACH, FL 32082
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - Present (28 years)
License(s)

State Registrations

B
California 11/12/1996
B
New York 1/15/1998
B
Colorado 2/10/2020
B
North Carolina 8/30/1996
B
Connecticut 1/4/2010
B
Pennsylvania 7/9/2009
B
Florida 7/11/1996
B
South Carolina 7/16/2001
IA
Florida 7/11/1996
B
Texas 1/16/2018
B
Georgia 1/16/1997
IA
Texas 1/16/2018
B
Illinois 1/22/2024
B
Virginia 9/5/1997
B
Maryland 11/30/1999
B
Washington 1/8/2021
B
Nevada 6/7/2007
B
Wisconsin 12/20/1999

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
824 A1A N, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 7/11/1996
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
824 A1A N, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 7/9/1996
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.