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William Calvin Phillips Jr
WILLIAM CALVIN PHILLIPS JR., William Phillips
CRD#: 4203009
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 BRICKELL AVE
MIAMI, FL 33131
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2017 - Present (7 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2006 (<1 year)BMORGAN STANLEY & CO., INCORPORATED (CRD# 8209)2002 - 2004 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2002 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2000 (<1 year)
Disclosure(s)
View By:
12/31/2015
Financial
Final
License(s)

State Registrations

B
Florida 11/28/2017

IA
Florida 11/28/2017

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

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Learn about permitted activities of registered representatives

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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)
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 11/28/2017

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 10/27/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/31/2006 - 11/13/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
09/11/2002 - 02/11/2004 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) NEW YORK, NY
B
04/27/2001 - 06/04/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
06/29/2000 - 10/11/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.