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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2005-01-14
IL RA APPROVED 1998-04-12
  • TX RA
    APPROVED_RES
    Since 2005-01-14
  • IL RA
    APPROVED
    Since 1998-04-12

Branch Locations

1033 Skokie Blvd, Northbrook, IL 60062 • 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
Merrill Lynch Northbrook IL 05/1997 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Northbrook IL 05/1997 Present
Bank Of America,Na Northbrook IL 11/2009 Present
Other Businesses

I*76436 For profit or not for profit: Non-Profit Organization Name of outside business organization: Care For Friends Investment related: N Address of business: Chicago, Illinois 60614 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 11/4/2014 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: The Foundation manages and administers services to homeless and underpriveldged individuals living on the North Side of Chicago. My role is as a general board member and will draw on my years of experience as a volunteer. I*89570 For profit or not for profit: Non-Profit Organization Name of outside business organization: Church Of The Holy Comforter Investment related: N Address of business: Kenilworth, Illinois 60043 Nature of business: Charitable Organization, Position, title, association: Start date of relationship: 2/6/2021 Number of hours devoted: 10 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: I will be a vestry member at my church. I will be a board member at large but Jr. Warden. This is effectively the Vice President of the church's governing body.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-07
S63 Uniform Securities Agent State Law Examination 1997-09-05
  • S65 Uniform Investment Adviser Law Examination
    1997-10-07
  • S63 Uniform Securities Agent State Law Examination
    1997-09-05
Other Names
  • Fj Phillips
  • Frederick J Phillips

View on SEC IAPD

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