DP
Daniel L. Phillips
THE FIDUCIARY ALLIANCE
LAGRANGE, GA 30240
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CRD#: 2776440
DP
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Lee Phillips'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
November 8, 2024 - Present
THE FIDUCIARY ALLIANCE
Office #1: 201 Ridley Ave Suite A, Lagrange, GA 30240RIA
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.
BD
CRD#: 5393
BELLEVUE, WA
Past
August 23, 2000 - June 13, 2011
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
December 16, 1998 - August 11, 2000
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
January 13, 1998 - May 13, 1998
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
October 16, 1996 - January 7, 1998
GT GLOBAL, INC.
BD
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".
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
Registered Investment Advisory firm - (8/17/2016 Approved)Upgrade to AdvisorCheck Premium
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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
63
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,842 |
| AUM (Assets Under Management) | $ 1,921,956,974 |
Red Flags
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Company Information
THE FIDUCIARY ALLIANCE
CRD#: 284924Lagrange, GA 30240TRUST BUT VERIFY
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Contact information
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