Mary T. Phillips

DIMENSIONAL FUND ADVISORS LP

CHARLOTTE, NC 28203

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CRD#: 4738278

Professional summary

Mary Tracey Phillips is a registered financial advisor currently at DIMENSIONAL FUND ADVISORS LP located in Charlotte, North Carolina and DFA SECURITIES LLC located in Charlotte, North Carolina.

Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Mary has worked at 4 firms and has passed the Series 66, SIE, Series 3, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Tracey 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

August 6, 2012 - Present

DIMENSIONAL FUND ADVISORS LP

Office #1: 1515 South Tryon Street, Charlotte, NC 28203

RIA

CRD#: 106482

CHARLOTTE, NC

Current

July 19, 2012 - Present

DFA SECURITIES LLC

Office #1: 1515 South Tryon Street, Charlotte, NC 28203

CRD#: 10292

Charlotte, NC

Past

October 18, 2007 - August 4, 2010

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

CRD#: 329

TACOMA, WA

Past

January 6, 2004 - October 18, 2007

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

TACOMA, WA

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".

DIMENSIONAL FUND ADVISORS LP

DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.

CRD#: 106482 / SEC#: 801-16283

RIA

Registered Investment Advisory firm - (8/26/1981 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.

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

North Carolina
(4/4/2017)

Texas
(7/19/2012)

IAR

Texas
(8/6/2012)

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

IAR

Series 66

Date: 7/12/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/12/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/5/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/9/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DIMENSIONAL FUND ADVISORS LP

DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.

CRD#: 106482 / SEC#: 801-16283

RIA

Registered Investment Advisory firm - (8/26/1981 Approved)

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Contact information

Main Address

6300 Bee Cave Road Building One, Austin, TX 78746

Mailing Address

Phone number

(512) 306-7400

Established

Firm type

Fiscal year end

# of Employees

1,135

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DIMENSIONAL FUND ADVISORS LP FORM ADV PART 2A - ANNUAL AMENDMENT DATED MARCH 31, 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,611
AUM (Assets Under Management)	$ 835,713,261,770

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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Mary T. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Tracey Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

DFA SECURITIES LLC

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

DIMENSIONAL FUND ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2004

SIE

Date: 10/1/2018

Series 3

Date: 12/12/2005

Series 7

Date: 1/5/2004

Series 24

Date: 1/9/2019

FINRA

Current Firm

DIMENSIONAL FUND ADVISORS LP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIMENSIONAL FUND ADVISORS LP

TRUST BUT VERIFY

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