Paul Joseph Phillips

Current Employers

Employment History

• 01/2009 → 01/2021
  Tdameritrade Inc
  San Diego, CA
• 10/2009 → Present
  Finra
  Rancho Bernardo, CA
• 02/2023 → Present
  Synergy Asset Management, Llc
  Vancouver, WA

Previous Registrations

• 2009-01-12 → 2021-01-11
  Td Ameritrade, Inc.
  San Diego, CA
  Scottsdale, AZ
• 2009-01-12 → 2020-12-31
  Td Ameritrade Investment Management, Llc
  San Diego, CA
  Scottsdale, AZ
• 2006-10-27 → 2009-04-13
  Second Look Financial, Llc.
  Glendale, AZ
• 2002-01-01 → 2002-06-11
  Cue Financial Group, Inc.
  Phoenix, AZ

Other Businesses

OWNS REAL ESTATE, HAS PAYMENTS COMING IN FROM SALE OF OLD FIRMS, WHERE I COLLECT THOSE DOLLARS IN MY NAME. OWN INTELECTUAL PROPERTY IN MY NAME. 2) FINRA ARBITRATOR, PHONE CASES, HEARING CASES ON BEHALF OF FINRA REGARDING INDUSTRY RELATED ISSUES. WILL WORK SOME HOURS DURING TRADING HOURS. FINRA - ARBITRATOR POSITION: ARBITRATOR NATURE: FINRA ARBITRATOR, PHONE CASES, HEARING CASES ON BEHALF OF FINRA REGARDING INDUSTRY RELATED ISSUES. WILL WORK SOME HOURS DURING TRADING HOURS. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 07/30/1996 ADDRESS: FINRA, WASHINGTON DC 10001 DESCRIPTION: SIT AND HEAR FINRA ARBITRATIONS FLP - REAL ESTATE POSITION: NONE NATURE: OWNS REAL ESTATE, HAS PAYMENTS COMING IN FROM SALE OF OLD FIRMS, WHERE I COLLECT THOSE DOLLARS IN MY NAME. OWN INTELECTUAL PROPERTY IN MY NAME INVESTMENT RELATED: YES NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 01/01/2008 ADDRESS: 4635 W. PORT AU PRINCE, PHOENIX AZ 85306 DESCRIPTION: NONE.Ã?,Ã,  FLP- FAMILY DOES THE WORK IP RESELL POSITION: CHIEF INNOVATION OFFICER NATURE: LEASE OF INTELLECTUAL PROPORTY INVESTMENT RELATED: NO NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 0 START DATE: 12/02/2012 ADDRESS: PO BOX 28958, SAN DIEGO CA 92198 DESCRIPTION: I LEASE NONPROFITS MY INTELLECTUAL PROPERTY. AZ RENTAL PROPERTY POSITION: OWNER NATURE: RENTAL HOUSE IN AZ INVESTMENT RELATED: NO NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 0 START DATE: 05/30/2014 ADDRESS: 1619 S. 31AVE, PHOENIX AZ 85009 DESCRIPTION: I WILL OWN RENTAL PROPERTY IN AN LLC. RENTAL PROPERTY WILL BE RUN BY A MANAGEMENT COMPANY

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-10-03
• S66 Uniform Combined State Law Examination
  2001-05-30
• S63 Uniform Securities Agent State Law Examination
  1992-07-14

Other Names

• Joseph Michael Phillips
• Joe Phillips