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Detailed Report
CHRISTOPHER RYAN PHILLIPS
CHRIS PHILLIPS
CRD#: 3003676
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 800 N MAGNOLIA AVE STE 1401
ORLANDO, FL 32803
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2005 (6 years)2 FIRMS2005 - 2011 (6 years)2 FIRMS2011 - 2023 (11 years)2 FIRMS2023 - Present (1 year)
Disclosure(s)
View By:
11/27/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 7/11/2023
B
Montana 1/12/2024
B
Arkansas 1/12/2024
B
New Hampshire 8/28/2024
B
California 6/15/2023
B
New Jersey 6/15/2023
B
Colorado 1/12/2024
B
New York 6/15/2023
B
Delaware 8/28/2024
B
North Carolina 6/15/2023
B
Florida 6/15/2023
B
Ohio 6/15/2023
IA
Florida 6/16/2023
B
Oregon 6/15/2023
B
Georgia 6/15/2023
B
Pennsylvania 6/15/2023
B
Hawaii 1/12/2024
B
South Carolina 6/15/2023
B
Indiana 6/16/2023
B
South Dakota 1/12/2024
B
Kentucky 6/15/2023
B
Tennessee 1/12/2024
B
Louisiana 6/27/2024
B
Texas 1/12/2024
B
Maryland 6/15/2023
IA
Texas 1/15/2024
B
Michigan 8/27/2024
B
Utah 1/12/2024
B
Minnesota 1/12/2024
B
Vermont 10/9/2023
B
Mississippi 6/15/2023
B
Virginia 1/12/2024
B
Missouri 6/15/2023
B
Wyoming 1/12/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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
WELLS FARGO ADVISORS (CRD#:19616)
800 N MAGNOLIA AVE STE 1401, ORLANDO, FL 32803
Registered with this firm since 6/16/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
800 N MAGNOLIA AVE STE 1401, ORLANDO, FL 32803
Registered with this firm since 6/15/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/19/2011 - 07/10/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) Winter Park, FL
B
 09/16/2011 - 07/10/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) Winter Park, FL
IA
 03/11/2005 - 09/20/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ORLANDO, FL
B
 02/25/2005 - 09/20/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ORLANDO, FL
IA
 06/17/1998 - 03/14/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) ORLANDO, FL
B
 06/12/1998 - 03/14/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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.