Philip E. Smith
SALIENT WEALTH PLANNING | Private Wealth Advisor
San Diego, CA 92122
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CRD#: 4231653
Professional summary
Philip Edwin Smith, CFP®, ChFC® is a registered financial advisor currently at SALIENT WEALTH PLANNING located in San Diego, California and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
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 4 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Estate Planning
Comprehensive Financial Planni...
Insurance Planning
Investment Planning
Retirement Planning
Education Planning
Tax Planning
Employee and Employer Plan Ben...
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
Aliases
None
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. SWP Financial Holdings, LLC d/b/a Salient Wealth Planning LLC //Yes, investment related / 3655 Nobel Dr. #510 San Diego, CA 92122 / Financial Planning & Investment Management / Owner / Managing Director, Financial Advisor / October 2023 / 40/week / Zero / hours to other businesses / None 2. Fixed Insurance, Not investment related, 3655 Nobel Dr, #510 San Diego, CA 92122, financial advisor, registered rep,, Financial Advisor, 10/2023, California, 1 hour/month, 1 hour/month, assist clients with term, LTC and disability insurance. 3. Real Estate Ownership; Multi-Family; / Long Term, buy and hold / 92110; Investment Related/ August 2016 / Multi-Family; 92110; Investment Related; August 2016/ Multi-Family; Vista, CA 92084; Investment Related; October 2021/ Single Family; Pine Cove, CA 92561; Investment Related; August 2022. / Owner of the properties / Zero hours devoted during business hours / No duties, just owner 4. PKS, Investment Related, 3655 Nobel Dr, #510 San Diego, CA 92122, registered rep, 10/2023, California, 16 hours/month, 8 hours/month, provide service and advice on financial accounts. 5. PKS Financial / Yes / 3655 Nobel Dr., #510 San Diego, CA 92122 / Fixed Traditional Ins. / Agent / 11.23 / 1 hr month / 1 hr. month / Sale of fixed / traditional Insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Philip Edwin Smith'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®
CFP®
Start date: 2003
Experience
Current
October 31, 2023 - Present
SALIENT WEALTH PLANNING
Office #1: 3655 Nobel Dr. Suite 510, San Diego, CA 92122RIA
CRD#: 327885
San Diego, CA
Current
October 31, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 3655 Nobel Drive #510, San Diego, CA 92122BD
CRD#: 35747
ALBANY, NY
Past
September 13, 2000 - November 8, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN DIEGO, CA
Past
July 28, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 28, 2000 - November 8, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SAN DIEGO, 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".
SW
SALIENT WEALTH PLANNING
SALIENT WEALTH PLANNING | SWP FINANCIAL LLC | SALIENT WEALTH PLANNING LLC
CRD#: 327885 / SEC#: 801-128911
RIA
Registered Investment Advisory firm - (10/31/2023 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.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
Arizona(10/31/2023)
RR
California(10/31/2023)
IAR
California(10/31/2023)
RR
New Mexico(10/3/2025)
IAR
Texas(10/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 10/31/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SALIENT WEALTH PLANNING
SALIENT WEALTH PLANNING | SWP FINANCIAL LLC | SALIENT WEALTH PLANNING LLC
CRD#: 327885 / SEC#: 801-128911
RIA
Registered Investment Advisory firm - (10/31/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3655 Nobel Dr. Suite 510, San Diego, CA 92122
Mailing Address
Phone number
(858) 768-0096
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 824 |
| AUM (Assets Under Management) | $ 199,904,946 |
Red Flags
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Company Information
SALIENT WEALTH PLANNING
Private Wealth AdvisorCRD#: 327885San Diego, CA 92122TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
