Mark A. Phillips

PHILLIPS WEALTH MANAGEMENT LLC

Pickerington, OH 43147

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CRD#: 1742617

Professional summary

Mark Andrew Phillips is a registered financial advisor currently at PHILLIPS WEALTH MANAGEMENT LLC located in Pickerington, Ohio.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Phillips's CRS (Customer Relationship Summary).

Certified licenses

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

None

Experience

Current

September 14, 2018 - Present

PHILLIPS WEALTH MANAGEMENT LLC

Office #1: 12927 Stonecreek Dr., Suite D, Pickerington, OH 43147

RIA

CRD#: 297249

Pickerington, OH

Past

April 19, 2013 - October 8, 2020

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 109771

BALTIMORE, OH

Past

April 19, 2013 - January 2, 2019

NEWEDGE SECURITIES, LLC

CRD#: 10674

BALTIMORE, OH

Past

March 16, 2007 - April 22, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

COLUMBUS, OH

Past

March 16, 2007 - April 22, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

COLUMBUS, OH

Past

March 28, 2003 - March 28, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GAHANNA, OH

Past

March 28, 2003 - March 28, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GAHANNA, OH

Past

July 31, 1993 - April 11, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 14, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 21, 1987 - June 23, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(2/15/2024)

IAR

Maryland
(6/21/2024)

IAR

Ohio
(9/14/2018)

IAR

Texas
(10/30/2023)

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: 11/15/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/5/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Current Firm

PHILLIPS WEALTH MANAGEMENT LLC

CRD#: 297249 / SEC#:

Florida

Registered Investment Advisory firm - (2/15/2024 Approved)

Maryland

Registered Investment Advisory firm - (6/21/2024 Approved)

Ohio

Registered Investment Advisory firm - (9/14/2018 Approved)

Texas

Registered Investment Advisory firm - (10/30/2023 Conditional Restricted)

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Contact information

Main Address

12927 Stonecreek Dr., Suite D, Pickerington, OH 43147

Mailing Address

1209 Hill Rd North Suite 102, Pickerington, OH 43147

Phone number

(614) 254-6034

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	828
AUM (Assets Under Management)	$ 77,755,979

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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Firm Stability Insights

Mark A. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

NEWEDGE SECURITIES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/1993

Series 63

Date: 11/5/1987

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1987

Current Firm

PHILLIPS WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PHILLIPS WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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