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Information

Other Names: Phil Anderson, Phillip L Anderson
Firm:
Additional Firm:
Type: Dual Registration
Description

Phillip Anderson is a financial professional at LPL Financial LLC, a broker-dealer with over 17,700 registered representatives nationwide. Phillip is also registered with Ameriprise Financial Services, Inc., a broker-dealer with over 13,600 registered representatives nationwide. Phillip has held an industry securities registration for 27 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Phillip Louis Anderson has not answered any questions on Financial Q&A.

Top Guides

Phillip Louis Anderson has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Ameriprise Financial Services Inc 2 months, 2 weeks Feb 2014 - Present
Linsco/Private Ledger 6 years, 8 months Jun 2007 - Feb 2014
Harbour Investments, Inc. 8 years, 4 months Feb 1999 - Jun 2007
Self Employed Ins. Broker 23 years, 1 month May 1984 - Jun 2007
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/02/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/02/2012
09/13/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 08/04/2008
Uniform Investment Adviser Law Examination Series 65 09/15/1997
Uniform Securities Agent State Law Examination Series 63 06/13/1986
General Securities Representative Examination Series 7 05/17/1986

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees