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.
To view the full report for KRISTOPHER PHILLIPS, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.