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CHRISTOPHER WILLIAM PHILLIPS
CRD#: 5785352
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 300 AIRBORNE PARKWAY
SUITE 216
CHEEKTOWAGA, NY 14225
SUITE 216
CHEEKTOWAGA, NY 14225
CETERA INVESTMENT SERVICES LLCCRD#: 15340 300 AIRBORNE PARKWAY
SUITE 216
CHEEKTOWAGA, NY 14225
SUITE 216
CHEEKTOWAGA, NY 14225
0
Disclosures
14
Years of Experience
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State Registrations
B
Florida 6/21/2019
IA
New York 3/31/2021
B
Michigan 6/21/2019
IA
North Carolina 6/19/2019
B
New York 6/21/2019
B
North Carolina 6/21/2019
SRO Registrations
B
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B
Registered with this firm since 6/20/2019
IA
Registered with this firm since 6/19/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/06/2017 - 06/24/2019 | CHEEKTOWAGA, NY | |
B | 05/11/2010 - 06/24/2019 | CHEEKTOWAGA, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.