Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PHILLIP ALBERT SCHREINER
CRD#: 4742497
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200420062008201020122014201620182020IAMORGAN STANLEY (CRD# 149777)2011 - 2018 (6 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2011 (1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2007 - 2009 (2 years)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2004 - 2007 (3 years)
Disclosure(s)
View By:
1/10/2019
Regulatory
Final
7/5/2018
Regulatory
Final
4/18/2018
Employment Separation After Allegations
10/4/2017
Customer Dispute
Denied
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/22/2011 - 05/16/2018 MORGAN STANLEY (CRD#:149777) SAN ANTONIO, TX
IA
 10/23/2009 - 09/21/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN ANTONIO, TX
IA
 10/05/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN ANTONIO, TX
IA
 03/29/2004 - 10/16/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SAN ANTONIO, TX
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.