KRISTOPHER PHILLIPS

KRISTOPHER PHILLIPS is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 401 NORTH CATTLEMEN ROAD, SUITE # 110, SARASOTA, FL, 34232.

KRISTOPHER PHILLIPS has worked at PRUCO SECURITIES, LLC. since June 26, 2012

Disclosure History

KRISTOPHER PHILLIPS has 1 Disclosure Event(s).

Date: January 27, 2015
Category: Regulatory
Initiated By: FLORIDA DEPT OF FINANCIAL SERVICES, DIVISION OF AGENT AND AGENCY SERVICES
Allegations: REP DID NOT COMPLY WITH THE CONTINUING EDUCATION REQUIREMENTS REQUIRED BY SECTION 626.2815, FL STATUTES, AND RULE 69B-228.220, FL ADMINISTRATIVE CODE, FOR THE COMPLIANCE PERIOD ENDING NOVEMBER 30, 2014.
Resolution: Stipulation and Consent SanctionDetails:
Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails:
Amount: $250.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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