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Phillip Louis Anderson

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Information

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

Phillip Anderson is a financial professional at Ameriprise Financial Services, Inc., a broker-dealer with over 13,400 registered representatives nationwide. Phillip has held an industry securities registration for 28 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Ameriprise Financial Services Inc 10 months 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
Exams
ExamSeriesPassed Date
General Securities Principal ExaminationSeries 24 08/04/2008
Uniform Investment Adviser Law ExaminationSeries 65 09/15/1997
Uniform Securities Agent State Law ExaminationSeries 63 06/13/1986
General Securities Representative ExaminationSeries 7 05/17/1986

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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/02/2012
04/22/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees