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William Francis Phillips Iii

Ocean Park Asset Management, LLC

South Haven, MI

Santa Monica, CA

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Current Employers
Ocean Park Asset Management, Llc

3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-10-30
  • CA RA
    APPROVED
    Since 2024-10-30

Branch Locations

South Haven, MI • United States

3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405 • 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
Northern Lights Distributors, Llc Elkhorn NE 09/2015 Present
Sierra Investment Management, Llc Santa Monica CA 09/2015 Present
Ocean Park Asset Management, Llc Santa Monica CA 09/2015 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-09-09
S63 Uniform Securities Agent State Law Examination 1999-06-09
  • S65 Uniform Investment Adviser Law Examination
    2009-09-09
  • S63 Uniform Securities Agent State Law Examination
    1999-06-09
Other Names
  • Bill Phillips
  • Billy Phillips

View on SEC IAPD

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