Dale G. Philips

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CRD#: 1095081

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Dale Gordon Philips, CFP® was a registered financial professional .

Dale is a previously registered financial professional and started their career in finance in 1983. Dale had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) INDEPENDENT INS AGENT. CORE GROUP USA, INC, Title: MANAGER/WHOLEALER�, Description: WHOLESALE FIXED & VARIABLE PROD, Start Date: 04-01-2003, Address: �7373 N SCOTTSDALE RD STE A-287 SCOTTSDALE AZ.�, Investment-related? YES, Hours per month: 40, During trading hours: 20 (2) HOME OWNERS ASSOCIATION, Title: BOARD MEMBER, Description: HOME OWNERS ASSOC, Start Date: 04-01-2020, Address: BRIGHTON BAY, MONKEY ISLAND, 74331, Investment-related? NO, Hours per month: 2, During trading hours: 0

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Past

May 17, 2023 - December 31, 2024

ADVISOR SHARE WEALTH MANAGEMENT, LLC

RIA

CRD#: 307997

Afton, OK

Past

November 10, 2020 - May 9, 2023

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

AFTON, OK

Past

August 8, 2003 - December 31, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CEDAR HILL, TX

Past

August 8, 2003 - December 31, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CEDAR HILL, TX

Past

January 31, 2003 - May 29, 2003

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DALLAS, TX

Past

November 19, 2002 - May 29, 2003

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

December 9, 1997 - December 4, 2002

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

CARROLLTON, TX

Past

October 3, 1997 - December 4, 2002

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

March 1, 1983 - September 23, 1997

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ADVISOR SHARE WEALTH MANAGEMENT, LLC

ADVISOR SHARE WEALTH MANAGEMENT | PEACE OF MIND PLANNING LLC | ADVISOR SHARE WEALTH MANAGEMENT, LLC

CRD#: 307997 / SEC#: 801-127122

RIA

Registered Investment Advisory firm - (1/3/2023 Approved)

Michigan

Registered Investment Advisory firm - (1/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - (2/13/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/22/2023 Cancelled)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/4/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/1997

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/7/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/25/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/1998

General Securities Principal Examination

Current Firm

ADVISOR SHARE WEALTH MANAGEMENT, LLC

ADVISOR SHARE WEALTH MANAGEMENT | PEACE OF MIND PLANNING LLC | ADVISOR SHARE WEALTH MANAGEMENT, LLC

CRD#: 307997 / SEC#: 801-127122

RIA

Registered Investment Advisory firm - (1/3/2023 Approved)

Michigan

Registered Investment Advisory firm - (1/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - (2/13/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/22/2023 Cancelled)

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Contact information

Main Address

13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684

Mailing Address

Phone number

(866) 232-3251

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (POM) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,429
AUM (Assets Under Management)	$ 185,181,144

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Dale G. Philips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VIRTUE CAPITAL MANAGEMENT, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

ADVISOR SHARE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/1997

Series 63

Date: 8/7/1984

SIE

Date: 12/31/2015

Series 7

Date: 4/22/1997

Series 22

Date: 8/7/1984

Series 6

Date: 2/25/1983

Series 24

Date: 9/14/1998

Current Firm

ADVISOR SHARE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISOR SHARE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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