Phillip Boortz, financial advisor Lompoc CA
78 score

Phillip Boortz

CRD Number: 5971399
Current Firm: Edward Jones

Phillip Boortz (CRD# 5971399) is an Investment Advisor Representative working at Edward Jones in Lompoc, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Edward Jones St Louis, MO Aug 2011 - Current 5
Unemployed Solvang, CA Sep 2010 - Aug 2011 < 1
Imagic Software Solvang, CA Sep 2006 - Sep 2010 4
Modular Structures International Riverside, CA Jul 1997 - Sep 2006 9
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2011
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 Phillip G. Boortz
Phone Number: 314-515-2000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    140,424
    MILLIONS
  • Total Number of Accounts
    777,048
    ACCOUNTS
  • Average Account Value
    $180,715
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
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

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BADGES
78

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