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William Calvin Phillips

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL

Stamford, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-11-28
  • FL RA
    APPROVED
    Since 2017-11-28

Branch Locations

701 Brickell Ave, Miami, FL 33131 • United States

301 Tresser Blvd Office Of Cao - Awl Local Markets Organization, Stamford, CT 06901 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 06/2017 Present
Amalgamated Bank Washington DC 02/2015 05/2017
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-21
S63 Uniform Securities Agent State Law Examination 2002-10-24
  • S66 Uniform Combined State Law Examination
    2017-09-21
  • S63 Uniform Securities Agent State Law Examination
    2002-10-24
Other Names
  • William Calvin Phillips
  • William Phillips

View on SEC IAPD

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