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DP

David T. Phillips

Some features on this profile are disabled
CRD#: 3094195
DP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Todd Phillips, who also goes by Todd Phillips, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1998. David had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 4, 2017 - November 30, 2018

MOLONEY SECURITIES ASSET MANAGEMENT LLC

RIA
CRD#: 282448
Gilbert, AZ
Past

November 20, 2017 - November 30, 2018

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
Gilbert, AZ
Past

April 26, 2013 - December 19, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
GILBERT, AZ
Past

February 26, 2007 - December 19, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
GILBERT, AZ
Past

April 20, 2004 - September 15, 2006

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
CHANDLER, AZ
Past

August 22, 2003 - April 1, 2004

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

July 31, 2000 - August 22, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

July 24, 1998 - August 1, 2000

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/11/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/1998
General Securities Representative Examination

Current Firm

MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES

CRD#: 282448 / SEC#: 801-107149

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Contact information

Main Address
13537 Barrett Parkway Drive, Suite 300, Manchester, MO 63021
Mailing Address
Phone number
(314) 909-0600
Established
Firm type
Fiscal year end
# of Employees
77

Documents

Latest Form ADV

Part 2 Brochures

MSAM - FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts4,390
AUM (Assets Under Management)$ 1,389,405,894

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/28/2025
Cover Page
Report
01/14/2025
Cover Page
Report
12/20/2023
Cover Page
Report

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

MOLONEY SECURITIES ASSET MANAGEMENT LLC

CRD#: 282448

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