BP
Brett A. Phillips
VOYA FINANCIAL ADVISORS
DALLAS, TX 75254
CRD#: 2844908
BP
Professional summary
Brett Andrew Phillips, who also goes by Brett A Phillips, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Dallas, Texas.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Brett has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brett A 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.
INDEPENDENT INSURANCE AGENT POSITION: INDEPENDANT INSURANCE AGENT NATURE: FIXED INSURANCE SALES INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/23/2016 ADDRESS: 15305 Dallas Parkway, 12th Floor, Addison TX 75001, United States DESCRIPTION: SALE OF FIXED INSURANCE PRODUCTS
CRS (Client Relationship Summary) - RIA
Click below to view Brett Andrew Phillips's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brett Andrew 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
December 12, 2014 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 14643 Dallas Parkway Suite 500, Dallas, TX 75254RIA
BD
CRD#: 2882
DALLAS, TX
Current
March 1, 2013 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 14643 Dallas Parkway Suite 500, Dallas, TX 75254RIA
BD
CRD#: 2882
DALLAS, TX
Past
October 31, 2011 - March 4, 2013
OSAIC FA, INC.
BD
CRD#: 3978
DALLAS, TX
Past
June 15, 2005 - May 11, 2006
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PLANO, TX
Past
June 15, 2005 - May 11, 2006
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PLANO, TX
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(1/4/2023)
RR
California(11/19/2014)
RR
Colorado(1/4/2022)
RR
Illinois(2/21/2025)
RR
Massachusetts(1/2/2018)
RR
New York(5/16/2025)
IAR
New York(5/16/2025)
RR
North Carolina(5/5/2025)
RR
Ohio(1/5/2022)
RR
Oklahoma(1/4/2023)
RR
Texas(3/1/2013)
IAR
Texas(12/12/2014)
RR
Virginia(6/25/2025)
RR
West Virginia(5/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
Company Information
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882Dallas, TX 75254TRUST BUT VERIFY
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