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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2018-12-21
  • NC RA
    APPROVED
    Since 2018-12-21

Branch Locations

10840 Us 15-501 Hwy. Unit D, Southern Pines, NC 28387 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pottle Financial Services Pinehurst NC 10/2008 12/2018
Charles Schwab & Co., Inc. Pinhurst NC 12/2018 Present
Previous Registrations
  • 2008-10-28 → 2019-01-11
    Pinehurst, NC
  • 2006-05-09 → 2008-10-29
    Securian Financial Services, Inc.
    Pinehurst, NC
  • 2005-01-01 → 2006-05-02
    A. G. Edwards & Sons, Inc.
    Greensboro, NC
Other Businesses

1) Tomwin Ventures LLC|Investment Related: No|10840 US 15-501 Hwy Unit D, Southern Pines, NC, 28387, USA|Financial Services|Owner|11/18/2020|Less than 20 hour/month - 0 during trading hours|Entity established exclusively in connection with the rep's independent broker relationship with the firm for liability, protection and tax purposes

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-31
  • S66 Uniform Combined State Law Examination
    2019-01-31
Other Names
  • Phillip Tomwin Bailey
  • Philip Tomwin Bailey
  • Philip T Bailey

View on SEC IAPD

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