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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-09-23 |
| MA | RA | APPROVED | 2024-12-02 |
| MN | RA | APPROVED | 2024-11-15 |
| IN | RA | APPROVED | 2024-11-14 |
| ME | RA | APPROVED | 2024-11-14 |
| MO | RA | APPROVED | 2024-11-14 |
| IL | RA | APPROVED | 2024-11-13 |
| MI | RA | APPROVED | 2024-11-13 |
| CT | RA | APPROVED | 2024-11-08 |
| SC | RA | APPROVED | 2024-11-07 |
| NH | RA | APPROVED | 2024-04-05 |
| NY | RA | APPROVED | 2021-04-16 |
| NJ | RA | APPROVED | 2020-07-23 |
| DC | RA | APPROVED | 2020-06-09 |
| TX | RA | APPROVED_RES | 2019-03-29 |
| OH | RA | APPROVED | 2015-08-10 |
| MD | RA | APPROVED | 2014-01-17 |
| GA | RA | APPROVED | 2014-01-15 |
| CO | RA | APPROVED | 2012-02-09 |
| PA | RA | APPROVED | 2011-04-05 |
| NC | RA | APPROVED | 2010-08-24 |
| VA | RA | APPROVED | 2010-03-04 |
| OK | RA | APPROVED | 2009-09-24 |
| FL | RA | APPROVED | 2009-09-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Avenue Securities | Fort Myers | FL | 07/2009 | Present |
| Guardian Life Ins Co Of Americaq | Fort Myers | FL | 07/2009 | Present |
1. Fixed Insurance Products, Sale of Fixed Life Products other than Guardain, Start: 05/12/2011, Address: 14021 Metropolis Avenue Fort Myers, FL 33912, 2 bus hrs per month, Investment related, 2. Steven Phillips CPA Tax and Accounting Services, Start: 07/10/2009, Address: 962 Clarellen Drive; Fort Myers, FL 33919, Hrs per month - Tot/Bus: 12/8, Not investment related, 3. Capital Care Group LLC-This is a new legal entity for doing my CPA activity it replace Davis and Associate and complements my Steven Phillips CPA OBA, Start: 12/22/2015, Address: 1016 Collier Center Way Suite 205,Naples, FL 34110, 10 bus hrs per month, Not investment related, 4. Estate of John M Phillips-Trustee of My Uncle Estate and Trust of John M Phillips, Start: 01/01/2009, Address: 962 Clarellen Drive Fort Myers, FL 33919, 1 non bus hr per month, Investment related, 5. SWFL Free Pain Clinic-Board Member, Start: 09/16/2019, Address: 6831 Palisades Park Court Unit 3 Fort Myers, Florida 3391, 1 non bus hr per month, Not investment related, 6. Phillips Enterprise Inc-I am a Registered Agent for this entity - Wife's consulting business, Start: 05/05/2020, Address: 962 Clarellen Drive Fort Myers, FL 33919, 0 hrs per month, Not investment related, 7. RSS Pension Group, LLC-Maintenance & Operation to do pensions consulting. No tax preparation, Start: 02/28/2023, Address: 5294 Summerlin Commons Way, Suite 1203, Ft. Myers, FL 33907, 3 total hours per month; 3 during securities trading hours, Not investment related, Less than 10% Annual Compensation, 8. Blue Octopus Enterprise, LLC, Start: 12/1/2024, Address: 962 Clarellen Drive Fort Myers, FL 33919, 1 total hour per month; 0 during securities trading hours, Investment Related, Less than 10% Annual Compensation,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-09-14 |
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