Philip J. Floyd

WORTH ASSET MANAGEMENT

Dallas, TX 75248

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CRD#: 4356937

Professional summary

Philip Joseph Floyd, CFP® is a registered financial advisor currently at WORTH ASSET MANAGEMENT located in Dallas, Texas.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Philip has worked at 7 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

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.

Independent Insurance Agent Non-Investment related 2340 Stallion St Carrollton TX 75010 Start Date: August 2007 20 hours/month Marketing and sales of traditional insurance products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Joseph Floyd's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2004

Experience

Current

February 5, 2021 - Present

WORTH ASSET MANAGEMENT

Office #1: 16660 Dallas Parkway Suite 1000, Dallas, TX 75248

RIA

CRD#: 166970

Dallas, TX

Past

January 7, 2016 - February 18, 2021

RETIREMENT PLANNERS OF AMERICA

RIA

CRD#: 157222

Coppell, TX

Past

January 17, 2014 - December 18, 2015

FORVIS MAZARS WEALTH ADVISORS, LLC

RIA

CRD#: 110905

DALLAS, TX

Past

August 20, 2007 - January 7, 2014

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

DALLAS, TX

Past

August 17, 2007 - January 15, 2014

SMITH ANGLIN FINANCIAL, LLC

RIA

CRD#: 144386

DALLAS, TX

Past

July 16, 2004 - August 21, 2007

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

IRVING, TX

Past

April 18, 2001 - August 21, 2007

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, 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".

WORTH ASSET MANAGEMENT

WORTH ASSET MANAGEMENT | WORTH ASSET MANAGEMENT, LLC

CRD#: 166970 / SEC#: 801-122206

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

Texas

Registered Investment Advisory firm - (11/11/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Arkansas
(10/6/2025)

IAR

Texas
(2/5/2021)

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: 5/4/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/17/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/28/2001

General Securities Principal Examination

Current Firm

WORTH ASSET MANAGEMENT

WORTH ASSET MANAGEMENT | WORTH ASSET MANAGEMENT, LLC

CRD#: 166970 / SEC#: 801-122206

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

Texas

Registered Investment Advisory firm - (11/11/2021 Terminated)

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Contact information

Main Address

16660 Dallas Parkway Suite 1000, Dallas, TX 75248-2612

Mailing Address

Phone number

(469) 257-5074

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FEB 2022 (2/12/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 270,009,431

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

Philip J. Floyd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Joseph Floyd's CRS (Customer Relationship Summary).

Certified licenses

Experience

RETIREMENT PLANNERS OF AMERICA

FORVIS MAZARS WEALTH ADVISORS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

SMITH ANGLIN FINANCIAL, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

WORTH ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 5/4/2001

Series 7

Date: 4/17/2001

Series 24

Date: 6/28/2001

Current Firm

WORTH ASSET MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WORTH ASSET MANAGEMENT

TRUST BUT VERIFY

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