Kristopher Phillips, financial advisor Sarasota FL
69 score

Kristopher Phillips

CRD Number: 6065455
Current Firm: Prudential Financial Planning Services

Kristopher Phillips (CRD# 6065455) is an Investment Advisor Representative working at Prudential Financial Planning Services in Sarasota, FL and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
The Prudential Insurance Company Of America Sarasota, FL May 2012 - Current 4
Pruco Securities, LLC Sarasota, FL May 2012 - Current 4
Foresters Financial Partners Punta Gorda, FL May 2010 - Apr 2012 1
K.p. Carpentry North Port, FL Nov 2001 - Oct 2011 9
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Jul 2013
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:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Kristopher Phillips
Phone Number: 800-235-7637
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    4,930
    MILLIONS
  • Total Number of Accounts
    42,153
    ACCOUNTS
  • Average Account Value
    $116,966
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
  • 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, 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
69

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