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Adam Phillips Fired from Equitable Advisors

Adam Phillips (CRD #: 6920600) was fired from his firm, according to his BrokerCheck record, accessed on August 13, 2022. Keep reading to learn more about his conduct as a broker. 

Termination from Equitable Advisors

On June 20, 2022, Adam Phillips was fired from Equitable Advisors after allegedly selling annuities in violation of state insurance requirements.

FINRA Rule 2010

Violating state insurance requirements violates FINRA Rule 2010. FINRA Rule 2010 requires brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Adam Phillips has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He previously worked for Equitable Advisors (CRD#:6627).

Kurta Law Can Help

If you worked with Adam Phillips and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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