Phillip Lee Trueblood
Professional Summary
Phillip Lee Trueblood is a registered financial advisor currently at TRUEBLOOD WEALTH MANAGEMENT, LLC located in Lima, Ohio. Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1968. Phillip has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, SIE, Series 15, Series 5, PC, Series 1, Series 24, Series 9, Series 10, Series 53, Series 4, Series 40 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
58 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
TRUEBLOOD WEALTH MANAGEMENT, LLC
Contact Information
Main Address
2651 Shawnee Rd, Lima, OH 45806Phone Number
(419) 812-2998# of Employees
3SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
987AUM (Assets Under Management)
$474,149,389Similar Advisors
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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.
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Primary Firm SEC Registration
TRUEBLOOD WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(3/1/2023)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 15 — Foreign Currency Options Examination
Passed Aug 1984Series 5 — Interest Rate Options Examination
Passed Jan 1982PC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Feb 1968Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 40 — Registered Principal Examination
Passed Apr 1974Series 12 — NYSE Branch Manager Examination
Passed Apr 1974Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Phillip Lee Trueblood's CRS (Customer Relationship Summary).
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