Daniel Lee Phillips
Professional Summary
Daniel Lee Phillips, who also goes by Daniel L Phillips, is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Lagrange, Georgia. Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Daniel has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel L Phillips
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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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Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ALTUM WEALTH ALLIANCE | WIDOWS FINANCIAL HARBOR | TRIPLE 7 WEALTH | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | STEPHEN & ASSOCIATES | STELLA MARIS WEALTH | PROVEST WEALTH ADVISORS | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | MADREN FINANCIAL | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | HOPPES WEALTH | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
Contact Information
Main Address
135 S Main St Suite 600, Greenville, SC 29601Phone Number
(864) 385-7999# of Employees
76SEC notice filing (43 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
9,155AUM (Assets Under Management)
$2,526,238,956Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ALTUM WEALTH ALLIANCE | WIDOWS FINANCIAL HARBOR | TRIPLE 7 WEALTH | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | STEPHEN & ASSOCIATES | STELLA MARIS WEALTH | PROVEST WEALTH ADVISORS | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | MADREN FINANCIAL | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | HOPPES WEALTH | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
State Registrations and Notice Filings
(11/8/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel Lee Phillips's CRS (Customer Relationship Summary).
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