Philip Edwin Smith
CFP®, ChFC®Professional Summary
Philip Edwin Smith, CFP®, ChFC® is a registered financial advisor currently at SALIENT WEALTH PLANNING located in Encinitas, California and PURSHE KAPLAN STERLING INVESTMENTS located in Encinatas, California. Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Philip has worked at 5 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Estate & Legacy Planning
- Financial Planning
- Risk Management & Insurance
- Investment Management
- Retirement Planning
- Education Funding
- Tax Planning
- Business Services
Other Aliases
There are no additional aliases reported.
Similar Advisors
MEASURED RISK PORTFOLIOS
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
MEASURED RISK PORTFOLIOS
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
Contact Information
Direct
(xxx) xxx-xxxx
linkedin.com/in/xxxxxx
facebook.com/xxxxxx
xxxxx@xxxx.xxx
Similar Advisors
MEASURED RISK PORTFOLIOS
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
MEASURED RISK PORTFOLIOS
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
Credentials
Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
MEASURED RISK PORTFOLIOS
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
Current Firm
SALIENT WEALTH PLANNING | SWP FINANCIAL LLC | SALIENT WEALTH PLANNING LLC
Contact Information
Main Address
171 Saxony Road Suite 211, Encinitas, CA 92024Phone Number
(858) 768-0096# of Employees
4SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
817AUM (Assets Under Management)
$239,389,499Similar Advisors
MEASURED RISK PORTFOLIOS
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
MEASURED RISK PORTFOLIOS
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
SALIENT WEALTH PLANNING | SWP FINANCIAL LLC | SALIENT WEALTH PLANNING LLC
State Registrations and Notice Filings
(10/31/2023)
(10/31/2023)
(10/31/2023)
(10/3/2025)
(10/31/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
MEASURED RISK PORTFOLIOS
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Philip Edwin Smith's CRS (Customer Relationship Summary).
Services Offered by Philip
- Estate & Legacy Planning
- Financial Planning
- Risk Management & Insurance
- Investment Management
- Retirement Planning
- Education Funding
- Tax Planning
- Business Services
Similar Advisors
MEASURED RISK PORTFOLIOS
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC