Todd E. Phillips

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CRD#: 3268999

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.

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

Todd is a previously registered financial professional and started their career in finance in 1999. Todd had worked at 5 firms and has passed the Series 66, Series 3, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Todd E 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.

1. TREASURER OF THE GRADUATE ASSOCIATION OF PHI GAMMA DELTA AT OLE MISS. 2. MANKER PATTEN TENNIS CLUB; CHATTANOGGA, TN; PRIVATE TENNIS CLUB; BOARD MEMBER; BEGAN 2011; HALF AN HOUR PER WEEK OUTSIDE NORMAL OFFICE HOURS ONLY 3. NOON LLC; ATTEND VARIOUS BOARD MEETINGS; 01/2013

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

May 10, 2013 - May 26, 2022

WEALTH PRESERVATION ADVISORS, LLC

RIA

CRD#: 167518

CHATTANOOGA, TN

Past

June 1, 2009 - May 29, 2013

MORGAN STANLEY

RIA

CRD#: 149777

CHATTANOOGA, TN

Past

June 1, 2009 - May 29, 2013

MORGAN STANLEY

CRD#: 149777

CHATTANOOGA, TN

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CHATTANOOGA, TN

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CHATTANOOGA, TN

Past

January 5, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHATTANOOGA, TN

Past

December 10, 2002 - April 21, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHATTANOOGA, TN

Past

May 5, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

CHATTANOOGA, TN

Past

September 29, 1999 - March 16, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

WEALTH PRESERVATION ADVISORS, LLC

NOON FINANCIAL, LLC | WEALTH PRESERVATION ADVISORS, LLC | WEALTH PRESERVATION ADVISORS

CRD#: 167518 / SEC#: 801-77997

RIA

Registered Investment Advisory firm - (5/10/2013 Approved)

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.

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

State Security Law Exam

IAR

Series 66

Date: 5/18/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 5/16/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 11/20/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/4/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/28/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/20/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/17/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

WEALTH PRESERVATION ADVISORS, LLC

NOON FINANCIAL, LLC | WEALTH PRESERVATION ADVISORS, LLC | WEALTH PRESERVATION ADVISORS

CRD#: 167518 / SEC#: 801-77997

RIA

Registered Investment Advisory firm - (5/10/2013 Approved)

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Contact information

Main Address

715 Market Street Suite 307, Chattanooga, TN 37402

Mailing Address

Phone number

(423) 486-9400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,024
AUM (Assets Under Management)	$ 536,051,424

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.

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Advisor Monitoring

Firm Stability Insights

Todd E. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

WEALTH PRESERVATION ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2000

Series 3

Date: 5/16/2005

Series 31

Date: 11/20/2000

Series 7

Date: 5/4/2000

Series 6

Date: 9/28/1999

Series 10

Date: 8/20/2002

Series 9

Date: 8/17/2002

Current Firm

WEALTH PRESERVATION ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH PRESERVATION ADVISORS, LLC

TRUST BUT VERIFY

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