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Gregory Phillips

8 Years of Experience
Albany, NY
Broker

Gregory Phillips is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Albany, NY, with 8 years of industry experience. Gregory operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.

Compensation
Fixed/Hourly
Firm Size
2117 advisors
Number of Clients
1 client
Average Client Portfolio
Not specified

Fee Structure

Investment management only (planning not offered)

NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.

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Location

1 Northwestern Blvd, Albany, NY, 12211

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History

Regulatory History
Clean regulatory record

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.

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Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
April 2021 - Present · 5 yrs 1 mo
Northwestern Mutual Investment Services, LLCBroker
April 2021 - Present · 5 yrs 1 mo
Previous Registrations
Infinex Investments, INC.
October 2017 - March 2021 · 3 yrs 5 mos
Infinex Investments, INC.Broker
April 2017 - March 2021 · 3 yrs 11 mos
State Registrations17 states
CACOFLILMAMIMTNCNDNHNJNMNYOHPAVAWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.