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Home > Financial Services > Stock Brokers > T.S. Phillips Investments, Inc.
T.S. Phillips Investments, Inc.
T.S. Phillips Investments, Inc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
T. S. Phillips Investments, Inc. was set up as a private broker-dealer firm based in Oklahoma City, Oklahoma. The company currently has sixteen consultants who oversee more than 4,000 client accounts, both individual and institutions, with total assets in excess of $400 million. The Company has a clearing relationship with the National Financial Services (NFS), a wholly owned subsidiary of Fidelity Investments, who acts as custodian of your investment account and handles the delivery and receipt of securities purchased or sold by you, receives and distributes payments and produces your statements and trade confirmations. They also perform centralized cashiering and bookkeeping for the cash and margin accounts we service.
T. S. Phillips Investments, Inc is committed to safeguarding the interests of their customers and employees in the event of an emergency of significant Business Disruption. T S Phillips has developed a Business Continuity Plan on how they will respond to events that significantly disrupt their business. Since the timing and impact of disasters and disruptions is unpredictable, they will have to be flexible in responding to actual events as they occur. The firm’s policy is to safeguard their employees lives and firm property, make financial and operational assessments, meet their obligations and responsibilities to their customers, continue to conduct business under varying degrees of a SBD, and if unable to continue in business, assure customers of prompt access to their funds and securities.
The Company has planned for alternate means of communications with customers, the clearing firm, and employees if a local telecommunications interruption should occur. Arrangements will be made with line and circuit providers to re-route calls to various locations where customers can contact the company representatives to transact business.
Client satisfaction is the most appropriate measure of their success, and they pride themselves on their high level of communication and service. The company also prides themselves on their accessibility and encourages frequent and open communication with the clients. Client satisfaction is the most appropriate measure of their success.
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