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MP

Mark H. Phillips

APS WEALTH MANAGEMENT
Melville, NY 11747
Some features on this profile are disabled
CRD#: 4428272
MP

Professional summary

Mark Howard Phillips is a registered financial advisor currently at APS WEALTH MANAGEMENT, LLC located in Melville, New York.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Howard Phillips'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®
None

Experience

Current

April 15, 2021 - Present

APS WEALTH MANAGEMENT, LLC

Office #1: 1 Huntington Quadrangle Suite 3n03, Melville, NY 11747
RIA
CRD#: 298233
Melville, NY
Past

June 25, 2014 - September 27, 2018

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
MELVILLE, NY
Past

December 14, 2012 - September 27, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
MELVILLE, NY
Past

January 22, 2010 - December 6, 2012

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
MELVILLE, NY
Past

October 31, 2006 - February 9, 2010

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SYOSSET, NY
Past

June 20, 2005 - November 2, 2006

OPPENHEIMER & CO. INC.

BD
CRD#: 249
HAUPPAUGE, NY
Past

October 16, 2003 - July 18, 2005

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

July 27, 2001 - September 29, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 27, 2001 - September 29, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, 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".
AW
APS WEALTH MANAGEMENT, LLC
APS INVESTMENT MANAGEMENT, INC. | APS WEALTH MANAGEMENT, LLC | APS PENSION & FINANCIAL SERVICES, INC.

CRD#: 298233 / SEC#: 801-114000

RIA
Registered Investment Advisory firm - (9/17/2018 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.

Highlighted states indicate IAR registrations

IAR
New York
(4/15/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/17/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/26/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/25/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/26/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AW
APS WEALTH MANAGEMENT, LLC
APS INVESTMENT MANAGEMENT, INC. | APS WEALTH MANAGEMENT, LLC | APS PENSION & FINANCIAL SERVICES, INC.

CRD#: 298233 / SEC#: 801-114000

RIA
Registered Investment Advisory firm - (9/17/2018 Approved)
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Contact information

Main Address
1 Huntington Quadrangle Suite 3n03, Melville, NY 11747
Mailing Address
Phone number
(516) 228-8444
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2AB (2/27/2025)

Regulatory assets under management

Total Number of Accounts313
AUM (Assets Under Management)$ 264,663,888

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

APS WEALTH MANAGEMENT, LLC

CRD#: 298233Melville, NY 11747

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