Nancy K. Phillips

PERRYMAN FINANCIAL ADVISORY

Dallas, TX 75243

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CRD#: 4519607

Professional summary

Nancy Kay Phillips, CFP®, who also goes by Nancy Kay Phillips, Nancy Kay Purifoy, is a registered financial advisor currently at PERRYMAN FINANCIAL ADVISORY, INC. located in Dallas, Texas and PERRYMAN SECURITIES, INC. located in Dallas, Texas.

Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Nancy has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nancy Kay Phillips | Nancy Kay Purifoy

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 Nancy Kay 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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

July 7, 2010 - Present

PERRYMAN FINANCIAL ADVISORY, INC.

Office #1: 8604 Greenville Avenue, Ste 200, Dallas, TX 75243

RIA

CRD#: 107653

Dallas, TX

Current

September 24, 2003 - Present

PERRYMAN SECURITIES, INC.

Office #1: 8604 Greenville Ave, Suite 200, Dallas, TX 75243

CRD#: 116502

Dallas, TX

Past

May 24, 2002 - January 17, 2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

PERRYMAN FINANCIAL ADVISORY, INC.

PERRYMAN FINANCIAL ADVISORY INC | PERRYMAN FINANCIAL ADVISORY, INC.

CRD#: 107653 / SEC#: 801-48109

RIA

Registered Investment Advisory firm - (12/23/1994 Approved)

Texas

Registered Investment Advisory firm - (11/27/2001 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.

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

Texas
(9/24/2003)

IAR

Texas
(7/7/2010)

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

State Security Law Exam

Series 63

Date: 7/8/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/23/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PERRYMAN FINANCIAL ADVISORY, INC.

PERRYMAN FINANCIAL ADVISORY INC | PERRYMAN FINANCIAL ADVISORY, INC.

CRD#: 107653 / SEC#: 801-48109

RIA

Registered Investment Advisory firm - (12/23/1994 Approved)

Texas

Registered Investment Advisory firm - (11/27/2001 Terminated)

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Contact information

Main Address

12221 Merit Dr Ste 1660, Dallas, TX 75251

Mailing Address

Phone number

(972) 770-4800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE-MARCH 2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	452
AUM (Assets Under Management)	$ 796,307,000

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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Nancy K. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy Kay Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERRYMAN SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

PERRYMAN FINANCIAL ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 5/23/2002

FINRA

Current Firm

PERRYMAN FINANCIAL ADVISORY, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PERRYMAN FINANCIAL ADVISORY, INC.

TRUST BUT VERIFY

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