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Lewis Benjimen Phillips

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oakland, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-12-16
  • CA RA
    APPROVED
    Since 2025-12-16

Branch Locations

1111 Broadway, Oakland, CA 94607 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oakland CA 02/2013 Present
Bank Of America, N.A. Oakland CA 03/2013 Present
Previous Registrations
  • 2007-05-29 → 2013-03-04
    Citigroup Global Markets Inc.
    Oakland, CA
    Oakland, CA
    San Francisco, CA
    San Francisco, CA
    Glendale, CA
    Glen Burnie, MD
    San Jose, CA
    San Francisco, CA
    Berkeley, CA
    Oakland, CA
    Oakland, CA
    San Francisco, CA
    San Jose, CA
    Richmond, CA
    El Cerrito, CA
    Napa, CA
    San Francisco, CA
    Albany, CA
    Glendale, CA
    San Francisco, CA
    Albany, CA
  • 2003-11-25 → 2007-05-29
    Citicorp Investment Services
    Albany, CA
    Albany, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-07-28
S63 Uniform Securities Agent State Law Examination 1996-05-10
  • S65 Uniform Investment Adviser Law Examination
    2004-07-28
  • S63 Uniform Securities Agent State Law Examination
    1996-05-10
Other Names
  • Lewis Benjamin Phillips
  • Lewis B Phillips

View on SEC IAPD

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Other Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAKLAND, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Oakland, CA
FM CAPITAL GROUP · OAKLAND, CA
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC · OAKLAND, CA
FINANCIAL AVENGERS, INC. · OAKLAND, CA

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