David Phillips
CRD Number: 4185767
Current Firm: Lpl Financial LLC
Compensation Model: Both
David Phillips (CRD# 4185767) has been a Wealth Manager for Phillips Financial where he is currently an LPL Registered Principal. His primary responsibilities involve analysis of financial products, development of financial planning strategies and portfolio management for the various investment objectives.
Telephone: 209-367-0868
email: [email protected]
website: http://www.lodifinancial.com/home
LinkedIn: David Phillips
Professional Designations
CFA® Charterholder (Chartered Financial Analyst)
CFP® (Certified Financial Planner)
Education
B.A. University of California, Berkeley
Graduated with Honors in Political Science
M.B.A. California State University, Sacramento
Concentration in Finance
Selected for membership to Beta Gamma Sigma; the Honor society for Collegiate Schools of Business
J.D. University of the Pacific - McGeorge School of Law, Conferred with Distinction
Concentrations in Tax and Business Law - David is a member of the California State Bar
CRD# 5567930
Avantax Advisory Services
CRD# 1833654
Lpl Financial LLC
CRD# 6805731
Transamerica Financial Advisors, Inc.
The CFP is the gold standard for financial professionals who perform comprehensive financial planning. CFPs must undergo rigorous exams and meet other requirements to obtain this designation.
The CFA is the gold standard for financial professionals who analyze securities. CFAs focus on portfolio construction and investment selection.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Lpl Financial, LLC | Lodi, CA | Jul 2003 - Current | 20 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Jul 2000 |
- CA
- TX
-
Total Assets Under Management463,475MILLIONS
-
Total Number of Accounts1,910,545ACCOUNTS
-
Average Account Value$242,588
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- 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
- Other
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, WY
Securities and advisory services offered through LPL Financial, a registered investment advisor, member FINRA/SIPC
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