MP
Mark Phillips
LEWIS ASSET MANAGEMENT
Pittston, PA 18640
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CRD#: 4767861
MP
Professional summary
Mark Phillips is a registered financial advisor currently at LEWIS ASSET MANAGEMENT located in Pittston, Pennsylvania.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Mark has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 53 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.
1) JOYCE INSURANCE GROUP; INVESTMENT RELATED; 9 NORTH MAIN STREET PITTSTON, PA 18640; STATUTORY AGENT; 07-13-2004; 160 HRS/MONTH; 160 HRS/MONTH DURING SECURITIES TRADING HOURS; BENEFITS MANAGER AT JOYCE INSURANCE GROUP. MY RESPONSIBILITIES SERVICING AND SELLING GROUP HEALTH INSURANCE AND LIFE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Phillips's 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®
NoneExperience
Current
June 10, 2017 - Present
LEWIS ASSET MANAGEMENT
Office #1: 9 N. Main Street, Pittston, PA 18640RIA
CRD#: 143409
Pittston, PA
Past
June 7, 2011 - March 15, 2013
INTEGRATED CAPITAL MANAGEMENT, INC.
RIA
CRD#: 149489
SCRANTON, PA
Past
December 21, 2007 - June 19, 2017
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
PITTSTON, PA
Past
May 12, 2004 - June 19, 2017
FSC SECURITIES CORPORATION
BD
CRD#: 7461
PITTSTON, PA
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".
LA
LEWIS ASSET MANAGEMENT
LEWIS ASSET MANAGEMENT | LEWIS ASSET MANAGEMENT, LLC
CRD#: 143409 / SEC#: 801-119399
RIA
Registered Investment Advisory firm - (9/2/2020 Approved)California
Registered Investment Advisory firm - (10/22/2020 Terminated)Florida
Registered Investment Advisory firm - (9/22/2020 Terminated)New Jersey
Registered Investment Advisory firm - (5/28/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/24/2020 Terminated)Texas
Registered Investment Advisory firm - (9/22/2020 Terminated)Virginia
Registered Investment Advisory firm - (9/23/2020 Terminated)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 Jersey(8/3/2018)
IAR
Pennsylvania(6/10/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
LA
LEWIS ASSET MANAGEMENT
LEWIS ASSET MANAGEMENT | LEWIS ASSET MANAGEMENT, LLC
CRD#: 143409 / SEC#: 801-119399
RIA
Registered Investment Advisory firm - (9/2/2020 Approved)California
Registered Investment Advisory firm - (10/22/2020 Terminated)Florida
Registered Investment Advisory firm - (9/22/2020 Terminated)New Jersey
Registered Investment Advisory firm - (5/28/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/24/2020 Terminated)Texas
Registered Investment Advisory firm - (9/22/2020 Terminated)Virginia
Registered Investment Advisory firm - (9/23/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
985 Moraga Rd. Suite 207, Lafayette, CA 94549
Mailing Address
Phone number
(925) 284-4033
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 542 |
| AUM (Assets Under Management) | $ 214,315,704 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
