Daniel Phillips, financial advisor Rancocas NJ
83 score

Daniel Phillips

CRD Number: 4464336
Current Firm: Gwn Securities Inc.

Daniel Phillips (CRD# 4464336) is an Investment Advisor Representative working at Gwn Securities Inc. in Rancocas, NJ and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Gwn Securities Inc. Palm Beach Gardens, FL Nov 2014 - Current 2
The Investment Center Inc. Warren, NJ May 2013 - Nov 2014 1
Ic Advisory Services Inc. Warren, NJ May 2013 - Nov 2014 1
Security Distributors, Inc. Topeka, KS Mar 2012 - May 2013 1
Axa Advisors, LLC New York, NY Oct 2001 - Mar 2012 10
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination May 2003
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Daniel T. Phillips
Phone Number: 561-472-2700
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    1,387
    MILLIONS
  • Total Number of Accounts
    21,091
    ACCOUNTS
  • Average Account Value
    $65,765
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Market timing services
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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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