Patricia PhippsCRD Number: 1918043
Current Firm: Mutual Advisors, LLC
Patricia Phipps (CRD# 1918043) is an Investment Advisor Representative working at Mutual Advisors, LLC in Pico Rivera, CA and has over 22 years of experience in the finance industry.
Jst Investment Consulting
Fried Asset Management, Inc.
|Mutual Securities Inc.||Pico Rivera, CA||Sep 2009 - Current||7|
|Wachovia Securities, LLC||Arroyo Grande, CA||Jan 2008 - Sep 2009||1|
|A.g. Edwards & Sons, Inc.||Arroyo Grande, CA||May 2001 - Jan 2008||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1994|
|S65||NASAA Investment Advisors Law Examination||Nov 1997|
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
Total Assets Under Management478MILLIONS
Total Number of Accounts1,348ACCOUNTS
Average Account Value$354,529
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
AZ, CA, CO, FL, GA, HI, ID, NC, NE, NH, NJ, NV, OR, PA, TX, UT, VA, WA
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