Dawn Phillips, financial advisor Caledonia MI
81 score

Dawn Phillips

CRD Number: 4484935
Current Firm: Cetera Advisors LLC

Dawn Phillips (CRD# 4484935) is an Investment Advisor Representative working at Cetera Advisors LLC in Caledonia, MI and has over 14 years of experience in the finance industry.

Similar Advisors
Robert Gabridge, financial advisor Caledonia MI
Robert J. Gabridge
CRD# 5051596
Gabridge & Company Financial Advisors, LLC
Score
101
Similar Advisors
Bradley Maclachlan, financial advisor Caledonia MI
Bradley R. Maclachlan
CRD# 5902736
Robert W. Baird & Company Incorporated
Score
101
Similar Advisors
Jana Plaisier, financial advisor Caledonia MI
Jana M. Plaisier
CRD# 1590785
Plaisier Financial Group LLC
Score
101
Company Name Location Dates Years
Cetera Advisors LLC Denver, CO Oct 2014 - Current 2
Jjb Hilliard Wl Lyons LLC Louisville, KY Oct 2013 - Oct 2014 1
Securities Service Network Caledonia, MI Jan 2012 - Oct 2013 1
Esi Financial Caledonia, MI Sep 2011 - Oct 2013 2
Pnc Investments Holland, MI Jul 2010 - Sep 2011 1
Mml Investors Services, Inc. Grand Rapids, MI Feb 2010 - Mar 2010 < 1
Massmutual Financial Group Grand Rapids, MI Dec 2009 - Mar 2010 < 1
Raymond James & Associates, Inc. Holland, MI Aug 2007 - Dec 2009 2
J.j.b. Hilliard, W.l. Lyons, Inc. Holland, MI May 2002 - Aug 2007 5
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Nov 2012
S66 NASAA Uniform Combined State Law Examination Sep 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Dawn L. Phillips
Phone Number: 800-929-3485
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    9,424
    MILLIONS
  • Total Number of Accounts
    47,356
    ACCOUNTS
  • Average Account Value
    $199,001
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)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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

Ready to hire a financial advisor? Get competitive proposals from multiple advisors.
BADGES
81

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.