Paul A. Phillips

VANGUARD ADVISERS

PLANO, TX 75024

Some features on this profile are disabled

CRD#: 1891861

Professional summary

Paul Allen Phillips, CFP®, who also goes by Paul A Phillips, Paul Phillips, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Plano, Texas and VANGUARD MARKETING CORPORATION located in Plano, Texas.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Paul has worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul A Phillips | Paul Phillips

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.

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: FRISCO, TX NATURE OF BUSINESS: INSURANCE POSITION: N/A START DATE: 06/2019 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Allen Phillips's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

September 9, 2025 - Present

VANGUARD ADVISERS, INC.

Office #1: 7900 Windrose Ave, Plano, TX 75024

RIA

CRD#: 106715

PLANO, TX

Current

September 9, 2025 - Present

VANGUARD MARKETING CORPORATION

Office #1: 7900 Windrose Avenue, Plano, TX 75024

CRD#: 7452

Plano, TX

Past

January 18, 2022 - January 28, 2025

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

January 18, 2022 - January 28, 2025

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

FORT WORTH, TX

Past

July 8, 2019 - November 19, 2021

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

Frisco, TX

Past

July 8, 2019 - November 19, 2021

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

September 5, 2018 - May 17, 2019

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

AURORA, CO

Past

September 5, 2018 - May 17, 2019

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

AURORA, CO

Past

July 11, 2016 - March 19, 2018

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

LONE TREE, CO

Past

July 11, 2016 - March 19, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

LONE TREE, CO

Past

October 16, 2013 - June 4, 2015

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GREENWOOD VILLAGE, CO

Past

July 9, 2013 - June 3, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

Past

December 14, 2010 - March 15, 2012

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

ROCHESTER HILLS, MI

Past

February 4, 2008 - February 27, 2009

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ANN ARBOR, MI

Past

January 3, 2005 - January 3, 2007

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

September 10, 2002 - January 22, 2005

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

September 28, 2000 - July 17, 2001

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

March 8, 1994 - April 20, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

January 9, 1989 - July 11, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(9/9/2025)

IAR

Texas
(9/9/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/16/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/10/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/25/1994

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: 3/7/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Vanguard Blvd, Malvern, PA 19355

Mailing Address

Phone number

(610) 669-1000

Established

Firm type

Fiscal year end

# of Employees

2,225

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STABLE VALUE (9/29/2025)

VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (9/29/2025)

VANGUARD SITUATIONAL ADVISOR BROCHURE (9/29/2025)

VANGUARD STRATEGIC MODEL PORTFOLIOS (9/29/2025)

VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (9/29/2025)

VANGUARD PERSONAL ADVISOR SELECT (9/29/2025)

Regulatory assets under management

Total Number of Accounts	698,843
AUM (Assets Under Management)	$ 300,434,933,763

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
10/23/2024	Cover Page	Report
06/28/2023	Cover Page	Report

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.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

Garland, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

DALLAS, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul A. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Allen Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

MISSIONSQUARE RETIREMENT

MISSIONSQUARE INVESTMENT SERVICES

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

ALLSTATE FINANCIAL SERVICES, LLC

FIDELITY BROKERAGE SERVICES LLC

LASALLE FINANCIAL SERVICES, INC.

NATCITY INVESTMENTS, INC.

NORTHERN TRUST SECURITIES, INC.

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/16/2013

Series 65

Date: 5/10/2001

Series 63

Date: 3/25/1994

SIE

Date: 10/1/2018

Series 7

Date: 3/7/1994

FINRA

Current Firm

VANGUARD ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VANGUARD ADVISERS, INC.

TRUST BUT VERIFY

Similar Advisors