Daniel L. Phillips

THE FIDUCIARY ALLIANCE

LAGRANGE, GA 30240

Some features on this profile are disabled

CRD#: 2776440

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

Always Fiduciary

Aliases

Daniel L 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.

PRIVATE REAL ESTATE (NO BUSINESS NAME); INVESTMENT RELATED; RENTAL PROPERTIES - RESIDENTIAL HOUSING, LIVESTOCK PASTURAGE AND RELATED RANCHING ACTIVITIES; OWNER AND LANDLORD; SINCE 10/30/2015; 5 HOURS/MONTH, NOT DURING SECURITIES TRADING HOURS. BLOXX, LLC; NO INVESTMENT RELATED; COFOUNDER AND 10% OWNER; APPROXIMATELY 8 HRS/MO DURING TRADING HOURS; ELECTRONIC PRIVACY PROTECTION COMPANY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Lee 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®

None

Experience

Current

November 8, 2024 - Present

THE FIDUCIARY ALLIANCE

Office #1: 201 Ridley Ave Suite A, Lagrange, GA 30240

RIA

CRD#: 284924

LAGRANGE, GA

Past

June 29, 2017 - November 19, 2024

MADISON PARK CAPITAL ADVISORS, LLC

RIA

CRD#: 172780

OPELIKA, AL

Past

June 9, 2011 - February 22, 2017

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

BELLEVUE, WA

Past

June 9, 2011 - February 22, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

BELLEVUE, WA

Past

August 23, 2000 - June 13, 2011

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

December 16, 1998 - August 11, 2000

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

January 13, 1998 - May 13, 1998

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

October 16, 1996 - January 7, 1998

GT GLOBAL, INC.

CRD#: 19587

SAN FRANCISCO, 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".

THE FIDUCIARY ALLIANCE

CRD#: 284924 / SEC#: 801-108283

RIA

Registered Investment Advisory firm - (8/17/2016 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.

Highlighted states indicate IAR registrations

IAR

Georgia
(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

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 2/20/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 8/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 2/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 10/15/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 10/14/1997

General Securities Principal Examination

Current Firm

THE FIDUCIARY ALLIANCE

CRD#: 284924 / SEC#: 801-108283

RIA

Registered Investment Advisory firm - (8/17/2016 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

135 S Main St Suite 600, Greenville, SC 29601

Mailing Address

Phone number

(864) 385-7999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TFA ADV 2A (2/9/2026)

Regulatory assets under management

Total Number of Accounts	9,155
AUM (Assets Under Management)	$ 2,526,238,956

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Tyler Wagley

PFS INVESTMENTS INC.

PHOENIX, AZ

Ardal Powell

EAGLE STRATEGIES LLC

IAR

FISHKILL, NY

Ginger Ford

RAYMOND JAMES FINANCIAL SERVICES, INC.

Lexington, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel L. Phillips

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Lee Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON PARK CAPITAL ADVISORS, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

GOLDMAN SACHS & CO. LLC

INVESCO DISTRIBUTORS, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

GT GLOBAL, INC.

Primary Firm SEC Registration

THE FIDUCIARY ALLIANCE

State Registrations and Notice Filings

Exams

Series 66

Passed: 2/20/2004

Series 63

Passed: 8/28/1997

SIE

Passed: 2/22/2017

Series 7

Passed: 10/15/1996

Series 24

Passed: 10/14/1997

Current Firm

THE FIDUCIARY ALLIANCE

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE FIDUCIARY ALLIANCE

TRUST BUT VERIFY

Contact information

Similar Advisors