Stephen D. Philliber

WP ADVISORS

San Francisco, CA 94111

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CRD#: 2518605

Professional summary

Stephen Dominick Philliber is a registered financial advisor currently at WP ADVISORS, LLC located in San Francisco, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Stephen has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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 Stephen Dominick Philliber'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®

None

Experience

Current

April 20, 1999 - Present

WP ADVISORS, LLC

Office #1: 353 Sacramento Street Floor 18, San Francisco, CA 94111

RIA

CRD#: 118268

San Francisco, CA

Past

February 25, 1998 - May 4, 1999

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

March 20, 1997 - November 4, 1997

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

December 8, 1994 - November 8, 1996

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

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".

WP ADVISORS, LLC

WEST PORTAL INVESTMENT GROUP, LLC | WP ADVISORS, LLC | WP ADVISORS

CRD#: 118268 / SEC#: 801-62924

RIA

Registered Investment Advisory firm - (4/9/2004 Approved)

California

Registered Investment Advisory firm - (4/20/2004 Terminated)

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.

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

California
(4/20/1999)

IAR

Texas
(11/10/2016)

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: 4/19/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/2/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/26/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WP ADVISORS, LLC

WEST PORTAL INVESTMENT GROUP, LLC | WP ADVISORS, LLC | WP ADVISORS

CRD#: 118268 / SEC#: 801-62924

RIA

Registered Investment Advisory firm - (4/9/2004 Approved)

California

Registered Investment Advisory firm - (4/20/2004 Terminated)

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Contact information

Main Address

353 Sacramento Street Floor 18, San Francisco, CA 94111

Mailing Address

1225 4th Street #317, San Francisco, CA 94158

Phone number

(415) 777-2900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WP ADVISORS, LLC ADV PART 2 BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	877
AUM (Assets Under Management)	$ 505,734,475

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

Stephen D. Philliber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Dominick Philliber's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAMU INVESTMENTS, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

WP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/1999

Series 63

Date: 11/17/1995

Series 7

Date: 9/2/1997

Series 6

Date: 7/26/1994

Current Firm

WP ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WP ADVISORS, LLC

TRUST BUT VERIFY

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