Guy Phillips is a registered investment advisor, based in Miami, FL, with 28 years of industry experience.
Location
Miami, FL
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Guy is a managing member of NuOrion Advisors, NuOrion Capital, and NuOrion Partners, and serves on the board of directors for Lummus Corporation and Costar Technologies. He also works with Spayne Lindsay & Co. LLP, dedicating about 10-20% of his time to NuOrion Advisors and about half his time to NuOrion Capital.
Employment History
Current Registrations
Nuorion CapitalBroker
Nuorion Advisors, LLC
Previous Registrations
Stout Risius Ross Advisors, LLCBroker
UBS Financial Services INC.Broker
UBS Securities LLCBroker
Schroder & CO. INC.Broker
Kidder, Peabody & CO. IncorporatedBroker
Kidder, Peabody & CO. IncorporatedBroker
Offutt Securities, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.