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Detailed Report
Marty Andrew Phillips
CRD#: 2983039
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 15 LAKE STREET
SUITE 140
SAVANNAH, GA 31411
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2010 - 2015 (5 years)2 FIRMS2023 - Present (1 year)BTHE LEADERS GROUP, INC. (CRD# 37157)2017 - 2023 (6 years)BHARTFORD EQUITY SALES COMPANY INC. (CRD# 6604)2003 - 2010 (6 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2000 - 2003 (3 years)BJACKSON NATIONAL LIFE DISTRIBU... (CRD# 40178)2002 - 2003 (1 year)BMML INVESTORS SERVICES, INC. (CRD# 10409)1998 - 2000 (2 years)
License(s)

State Registrations

B
California 1/10/2024
B
New Jersey 11/11/2024
B
Florida 4/6/2023
B
North Carolina 4/6/2023
B
Georgia 3/10/2023
B
Pennsylvania 4/6/2023
IA
Georgia 4/27/2023
B
South Carolina 4/6/2023
B
Louisiana 4/6/2023
B
Tennessee 6/16/2023
B
Massachusetts 5/22/2023
IA
Texas 4/25/2023
B
Minnesota 2/14/2024
B
Texas 10/25/2024
B
Mississippi 4/6/2023
B
Washington 4/6/2023
B
Missouri 4/6/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
15 LAKE STREET SUITE 140, SAVANNAH, GA 31411
Registered with this firm since 4/25/2023
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
15 LAKE STREET SUITE 140, SAVANNAH, GA 31411
Registered with this firm since 3/10/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/22/2017 - 03/15/2023 THE LEADERS GROUP, INC. (CRD#:37157) LITTLETON, CO
IA
 08/10/2010 - 07/30/2015 WELLSPRING WEALTH MANAGEMENT LLC (CRD#:134834) SAVANNAH, GA
B
 03/19/2010 - 07/07/2015 LPL FINANCIAL LLC (CRD#:6413) SAVANNAH, GA
B
 12/03/2003 - 03/23/2010 HARTFORD EQUITY SALES COMPANY INC. (CRD#:6604) ALPHARETTA, GA
B
 07/26/2000 - 08/05/2003 NATIONAL PLANNING CORPORATION (CRD#:29604) LOS ANGELES, CA
B
 01/11/2002 - 08/04/2003 JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (CRD#:40178) FRANKLIN, TN
B
 02/19/1998 - 07/25/2000 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
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.