Harold Phillips, financial advisor Irvine CA

Harold Phillips

CRD Number: 3084163
Current Firm: Equitable Advisors, LLC

Harold Phillips (CRD# 3084163) is an Investment Advisor Representative working at Equitable Advisors, LLC in Irvine, CA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Equitable Advisors LLC New York, NY Jun 2021 - Current < 1
Pfc Wealth Management & Insurance Services (dba) Irvine, CA May 2021 - Current < 1
Avantax Investment Services, Inc. Temecula, CA May 2021 - Jun 2021 < 1
Avantax Advisory Services Temecula, CA May 2021 - Jun 2021 < 1
Avantax Insurance Agency Temecula, CA May 2021 - Jun 2021 < 1
Pfc Insurance Services, LLC Temecula, CA Mar 2021 - Jun 2021 < 1
Service Corporation International Rancho Mirage, CA Jan 2020 - May 2021 1
W&s Brokerage Services Cincinnati, OH Jan 2018 - Jan 2020 2
Western & Southern Life Riverside, CA Jan 2018 - Jan 2020 2
Scottrade Investment Management Indian Wells, CA Apr 2017 - Jan 2018 < 1
Scottrade Inc. Indian Wells, CA Apr 2017 - Jan 2018 < 1
Hd Vest Advisory Services, Inc. Riverside, CA Sep 2016 - May 2017 < 1
Hd Vest Investment Services Menifee, CA Jun 2016 - May 2017 < 1
Pfc Wealth Advisors Riverside, CA Jul 2016 - Apr 2017 < 1
Jp Morgan Securities LLC Temecula, CA May 2016 - Jun 2016 < 1
Jpmorgan Chase Bank Temecula, CA Apr 2016 - Jun 2016 < 1
New York Life Insurance Company San Dimas, CA Dec 2015 - Apr 2016 < 1
Nylife Securuties LLC San Dimas, CA Dec 2015 - Apr 2016 < 1
Nylife Securities LLC Dallas, TX Aug 2013 - Apr 2016 2
New York Life Insurance Co Dallas, TX Aug 2013 - Dec 2015 2
Mml Investors Services Addison, TX Jun 2012 - Aug 2013 1
Massmutual Life Insurance Company Addison, TX Apr 2012 - Aug 2013 1
Spectrum Financial Group/mml Addison, TX Apr 2012 - Aug 2013 1
Harold W Phillips Prosper, TX May 2011 - Mar 2012 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2013
S66 NASAA Uniform Combined State Law Examination Sep 2016
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.

Get Details on the FINRA Advisor Check site
Contact Info for Harold W. Phillips
Phone Number: 212-314-4600
Firm Website: http://equitable.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    26,008
    MILLIONS
  • Total Number of Accounts
    66,790
    ACCOUNTS
  • Average Account Value
    $389,399
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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, 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, WY

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