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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
ID RA APPROVED 2020-12-03
TX RA APPROVED 2013-02-26
CA RA APPROVED 2012-03-16
  • ID RA
    APPROVED
    Since 2020-12-03
  • TX RA
    APPROVED
    Since 2013-02-26
  • CA RA
    APPROVED
    Since 2012-03-16

Branch Locations

555 Capitol Mall, Sacramento, CA 95814 • United States

Boise, ID • United States

Boise, ID • United States

225 N 9Th St, Boise, ID 83702 • 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, Pierce, Fenner & Smith Incorporated Sacramento CA 02/2011 Present
Bank Of America, N.A. Sacramento CA 09/2012 Present
Other Businesses

I*11143 For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business: Oxford, Mississippi 38655 Nature of business: Position, title, association: , Start date of relationship: 6/17/2021 Number of hours devoted: 15 hour(s) Number of hours devoted during trading hours: 0 I*8124 For profit or not for profit: Name of outside business organization: Andrew Phillips Investment related: Address of business: Boise, Idaho 83705 Nature of business: , Position, title, association: , Start date of relationship: 5/14/2019 Number of hours devoted: 20 hour(s) Number of hours devoted during trading hours: 0 Duties: I*10507 For profit or not for profit: Name of outside business organization: Mississippi Rental Property Investment related: Address of business: Oxford, Mississippi 38655 Nature of business: , Position, title, association: , Start date of relationship: 1/25/2021 Number of hours devoted: 5 hour(s) Number of hours devoted during trading hours: 0 Duties: I*10506 For profit or not for profit: Name of outside business organization: Sacramento Rental Property Investment related: Address of business: Sacramento, California 95826 Nature of business: , Position, title, association: , Start date of relationship: 1/25/2021 Number of hours devoted: 5 hour(s) Number of hours devoted during trading hours: 0 Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-03-15
S63 Uniform Securities Agent State Law Examination 2011-12-22
  • S65 Uniform Investment Adviser Law Examination
    2012-03-15
  • S63 Uniform Securities Agent State Law Examination
    2011-12-22
Other Names
  • Andrew William Phillips
  • Andrew Phillips

View on SEC IAPD

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