Kevin Thomas Phillip

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2024-11-05
TX	RA	APPROVED_RES	2014-09-18
CA	RA	APPROVED	1997-07-08

MN RA
APPROVED

Since 2024-11-05
TX RA
APPROVED_RES

Since 2014-09-18
CA RA
APPROVED

Since 1997-07-08

Branch Locations

Ponsford, MN • United States

3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • United States

San Pedro, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Painewebber Inc	Long Beach	CA	01/1995	Present
Ubs Financial Services Inc.	Long Beach	CA	01/1995	Present

01/1995 → Present

Painewebber Inc

Long Beach, CA
01/1995 → Present

Ubs Financial Services Inc.

Long Beach, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-04-20
S65	Uniform Investment Adviser Law Examination	1995-04-20

S63 Uniform Securities Agent State Law Examination

1995-04-20
S65 Uniform Investment Adviser Law Examination

1995-04-20

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Reviews