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ANDREW W PHILLIPS
ANDREW WILLIAM PHILLIPS, ANDREW PHILLIPS
CRD#: 5901098
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CAPITOL MALL
SACRAMENTO, CA 95814
Registration History
20122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - Present (12 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2011 - Present (13 years)
License(s)

State Registrations

B
Alabama 5/31/2012

B
Minnesota 12/7/2023

B
Arizona 5/31/2012

B
Mississippi 6/7/2023

B
California 12/23/2011

B
Montana 8/17/2018

IA
California 3/16/2012

B
Nevada 5/31/2012

B
Colorado 5/31/2012

B
New York 5/31/2012

B
District of Columbia 8/10/2021

B
North Carolina 6/1/2012

B
Georgia 5/31/2012

B
Oregon 5/31/2012

B
Idaho 3/9/2016

B
South Carolina 5/26/2021

IA
Idaho 12/3/2020

B
South Dakota 9/24/2024

B
Illinois 5/31/2012

IA
Texas 2/26/2013

B
Indiana 3/24/2022

B
Texas 7/1/2015

B
Iowa 9/15/2021

B
Virginia 5/21/2015

B
Maryland 5/31/2012

B
Washington 5/31/2012

B
Massachusetts 4/12/2023

B
Wisconsin 4/13/2017

B
Michigan 1/7/2020

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 principals

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)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Boise, ID
Registered with this firm since 3/16/2012

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Boise, ID
Registered with this firm since 6/17/2011

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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.