PP
Paul J. Phillips
SYNERGY ASSET MANAGEMENT
Glendale, AZ
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CRD#: 2256109
PP
Professional summary
Paul Joseph Phillips JR, who also goes by Joseph Michael Phillips, Joe Phillips, is a registered financial advisor currently at SYNERGY ASSET MANAGEMENT, LLC located in Glendale, Arizona.
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Paul has worked at 13 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Michael Phillips | Joe 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.
OWNS REAL ESTATE, HAS PAYMENTS COMING IN FROM SALE OF OLD FIRMS, WHERE I COLLECT THOSE DOLLARS IN MY NAME. OWN INTELECTUAL PROPERTY IN MY NAME. 2) FINRA ARBITRATOR, PHONE CASES, HEARING CASES ON BEHALF OF FINRA REGARDING INDUSTRY RELATED ISSUES. WILL WORK SOME HOURS DURING TRADING HOURS.
FINRA - ARBITRATOR
POSITION: ARBITRATOR NATURE: FINRA ARBITRATOR, PHONE CASES, HEARING CASES ON BEHALF OF FINRA REGARDING INDUSTRY RELATED ISSUES. WILL WORK SOME HOURS DURING TRADING HOURS. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 07/30/1996
ADDRESS: FINRA, WASHINGTON DC 10001
DESCRIPTION: SIT AND HEAR FINRA ARBITRATIONS
FLP - REAL ESTATE
POSITION: NONE NATURE: OWNS REAL ESTATE, HAS PAYMENTS COMING IN FROM SALE OF OLD FIRMS, WHERE I COLLECT THOSE DOLLARS IN MY NAME. OWN INTELECTUAL PROPERTY IN MY NAME INVESTMENT RELATED: YES NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 01/01/2008
ADDRESS: 4635 W. PORT AU PRINCE, PHOENIX AZ 85306
DESCRIPTION: NONE.�?,�, FLP- FAMILY DOES THE WORK
IP RESELL
POSITION: CHIEF INNOVATION OFFICER NATURE: LEASE OF INTELLECTUAL PROPORTY INVESTMENT RELATED: NO NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 0 START DATE: 12/02/2012
ADDRESS: PO BOX 28958, SAN DIEGO CA 92198
DESCRIPTION: I LEASE NONPROFITS MY INTELLECTUAL PROPERTY.
AZ RENTAL PROPERTY
POSITION: OWNER NATURE: RENTAL HOUSE IN AZ INVESTMENT RELATED: NO NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 0 START DATE: 05/30/2014
ADDRESS: 1619 S. 31AVE, PHOENIX AZ 85009
DESCRIPTION: I WILL OWN RENTAL PROPERTY IN AN LLC. RENTAL PROPERTY WILL BE RUN BY A MANAGEMENT COMPANY
CRS (Client Relationship Summary) - RIA
Click below to view Paul Joseph Phillips JR'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®
NoneExperience
Current
February 3, 2023 - Present
SYNERGY ASSET MANAGEMENT, LLC
RIA
CRD#: 117201
Glendale, AZ
Past
January 12, 2009 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
SCOTTSDALE, AZ
Past
January 12, 2009 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
SCOTTSDALE, AZ
Past
January 12, 2009 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
SCOTTSDALE, AZ
Past
December 11, 2007 - January 21, 2009
PEAK SECURITIES CORPORATION
BD
CRD#: 107907
LARGO, FL
Past
October 27, 2006 - April 13, 2009
SECOND LOOK FINANCIAL, LLC.
RIA
CRD#: 128028
GLENDALE, AZ
Past
June 24, 2005 - December 7, 2005
BROKERSXPRESS LLC
BD
CRD#: 127081
CHICAGO, IL
Past
March 9, 2004 - June 17, 2005
SYNERGY INVESTMENT GROUP, LLC
BD
CRD#: 46035
CHARLOTTE, NC
Past
June 10, 2002 - November 3, 2003
TRIAD ADVISORS LLC
BD
CRD#: 25803
ATLANTA, GA
Past
January 1, 2002 - June 11, 2002
CUE FINANCIAL GROUP, INC.
RIA
CRD#: 21033
PHOENIX, AZ
Past
January 19, 2001 - June 11, 2002
CUE FINANCIAL GROUP, INC.
BD
CRD#: 21033
PHOENIX, AZ
Past
September 1, 1999 - May 8, 2000
A.B. WATLEY, INC.
BD
CRD#: 797
NEW YORK, NY
Past
December 6, 1993 - September 7, 1999
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 13, 1992 - November 15, 1993
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 13, 1992 - November 15, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
SA
SYNERGY ASSET MANAGEMENT, LLC
CROSSLINK CAPITAL GROUP, LLC | SYNERGY FINANCIAL MANAGEMENT, LLC DBA SYNERGETIC FINANCE | SYNERGY FINANCIAL MANAGEMENT, LLC | SYNERGY ASSET MANAGEMENT, LLC | SOUND PLANNING GROUP | ROWAN STREET ADVISORS, LLC
CRD#: 117201 / SEC#: 801-64132
RIA
Registered Investment Advisory firm - (4/8/2005 Approved)California
Registered Investment Advisory firm - (4/12/2005 Terminated)Washington
Registered Investment Advisory firm - (4/12/2005 Terminated)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
Arizona(2/3/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SA
SYNERGY ASSET MANAGEMENT, LLC
CROSSLINK CAPITAL GROUP, LLC | SYNERGY FINANCIAL MANAGEMENT, LLC DBA SYNERGETIC FINANCE | SYNERGY FINANCIAL MANAGEMENT, LLC | SYNERGY ASSET MANAGEMENT, LLC | SOUND PLANNING GROUP | ROWAN STREET ADVISORS, LLC
CRD#: 117201 / SEC#: 801-64132
RIA
Registered Investment Advisory firm - (4/8/2005 Approved)California
Registered Investment Advisory firm - (4/12/2005 Terminated)Washington
Registered Investment Advisory firm - (4/12/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684
Mailing Address
Phone number
(206) 386-5455
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,659 |
| AUM (Assets Under Management) | $ 1,052,439,630 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
