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Steven Richard Phillips

Principal Securities, Inc.

Wauwatosa, WI

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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2016-09-16
  • WI RA
    APPROVED
    Since 2016-09-16

Branch Locations

10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226 • 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
Principal Life Insurance Co Wauwatosa WI 08/2014 Present
Union Financial Wauwatosa WI 05/2015 Present
Principal Securities Inc Wauwatosa WI 03/2016 Present
  • 08/2014 → Present
    Principal Life Insurance Co
    Wauwatosa, WI
  • 05/2015 → Present
    Union Financial
    Wauwatosa, WI
  • 03/2016 → Present
    Principal Securities Inc
    Wauwatosa, WI
Other Businesses

***OUTSIDE INSURANCE, DI, HEALTH, GROUP BENEFITS, FIXED ANNUITIES, 5/27/15. ***Fixed Insurance, DI, LTC, Group Benefits, Health, 01/04/16.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-14
S63 Uniform Securities Agent State Law Examination 2014-12-10
  • S65 Uniform Investment Adviser Law Examination
    2016-09-14
  • S63 Uniform Securities Agent State Law Examination
    2014-12-10

View on SEC IAPD

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CURI CAPITAL, LLC
AFFILIATED FINANCIAL ADVISORS INC
CETERA INVESTMENT ADVISERS LLC
PACKERLAND BROKERAGE SERVICES, INC.
HARBOUR INVESTMENTS, INC.
J. W. COLE ADVISORS, INC.

Other Investors

FRANK ANTHONY MULARZ III
Alicia Brooke Lantz
Andrew Lee Kroll
Edward August Behling
David Edward Koehler
DANIEL JOSEPH MATOLA
BRIAN ARTHUR JANECKE
JASON VERN VOELKER

Other Offices

LPL FINANCIAL LLC · WAUWATOSA, WI
U.S. BANCORP ADVISORS, LLC · Wauwatosa, WI
CURI CAPITAL, LLC · Milwauikee, WI
AFFILIATED FINANCIAL ADVISORS INC · MILWAUKEE, WI
CETERA INVESTMENT ADVISERS LLC · WAUWATOSA, WI
PACKERLAND BROKERAGE SERVICES, INC. · WAUWATOSA, WI
HARBOUR INVESTMENTS, INC. · MILWAUKEE, WI
AFFILIATED FINANCIAL ADVISORS INC · MILWAUKEE, WI

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