Dianne Phillips, financial advisor Allentown PA
93 score

Dianne Phillips

CRD Number: 1996653
Current Firm: Wells Fargo Advisors, LLC

Dianne Phillips (CRD# 1996653) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Allentown, PA and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors LLC Allentown, PA Dec 2012 - Current 4
Stifel, Nicolaus & Company, Incorporated Plains, PA Sep 2009 - Dec 2012 3
Ubs Financial Services Inc. Bethlehem, PA Nov 2006 - Sep 2009 2
Citigroup Global Markets Inc. New York, NY Feb 2006 - Nov 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1992
S65 NASAA Investment Advisors Law Examination Feb 2013
Contact Info for Dianne Phillips
Phone Number: 314-875-3000
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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