Frederick A. Phillips

EFINANCIAL ALLIANCE

Franklin, TN 37067

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CRD#: 4849475

Professional summary

Frederick Allan Phillips, CFP® is a registered financial advisor currently at EFINANCIAL ALLIANCE, LLC located in Franklin, Tennessee.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Frederick has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Investment Planning

Comprehensive Financial Planni...

Insurance Planning

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.

Tree Street Advisory, LLC / Investment Related / Franklin TN / Registered Investment Advisor / Advisor / Jan 2021 / 150 Hours per month / 100% During business hours. Beal, LLC- not investment related. Address is Allan's home address (3166 Tristan Dr. Franklin, TN 37064). Dropship/E-Commerce/Retail. Start date of relationship is 9/15/17. Approximately 20hrs/mth, 4hrs of which are during trading hours. Oversee website and ad campaign, contact suppliers to get access to product/place orders. Potentially hire virtual assistants to run business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Allan 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: 2017

Experience

Current

January 25, 2024 - Present

EFINANCIAL ALLIANCE, LLC

Office #1: 106 Mission Court Ste 703, Franklin, TN 37067

RIA

CRD#: 161352

Franklin, TN

Past

June 28, 2022 - November 7, 2023

ORIGIN INVESTMENT ADVISORY LLC

RIA

CRD#: 305353

Franklin, TN

Past

January 20, 2021 - March 29, 2024

TREE STREET ADVISORY, LLC

RIA

CRD#: 312137

FRANKLIN, TN

Past

March 18, 2016 - November 25, 2020

TAYLOR SECURITIES, INC.

RIA

CRD#: 17575

BRENTWOOD, TN

Past

March 9, 2016 - November 25, 2020

TAYLOR SECURITIES, INC.

CRD#: 17575

BRENTWOOD, TN

Past

April 13, 2015 - March 3, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NASHVILLE, TN

Past

April 8, 2015 - March 3, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NASHVILLE, TN

Past

June 19, 2006 - March 10, 2015

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

BRENTWOOD, TN

Past

March 15, 2006 - March 10, 2015

PARK AVENUE SECURITIES LLC

CRD#: 46173

BRENTWOOD, TN

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".

EFINANCIAL ALLIANCE, LLC

ANDERSON, MITCHELL K. | EFINANCIAL ALLIANCE, LLC

CRD#: 161352 / SEC#: 801-127547

RIA

Registered Investment Advisory firm - (4/4/2023 Approved)

Tennessee

Registered Investment Advisory firm - (4/19/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/18/2024 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.

Highlighted states indicate IAR registrations

IAR

Tennessee
(1/25/2024)

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

State Security Law Exam

IAR

Series 66

Date: 4/13/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/14/2006

General Securities Representative Examination

Current Firm

EFINANCIAL ALLIANCE, LLC

ANDERSON, MITCHELL K. | EFINANCIAL ALLIANCE, LLC

CRD#: 161352 / SEC#: 801-127547

RIA

Registered Investment Advisory firm - (4/4/2023 Approved)

Tennessee

Registered Investment Advisory firm - (4/19/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/18/2024 Terminated)

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Contact information

Main Address

106 Mission Court Ste 703, Franklin, TN 37067

Mailing Address

Phone number

(615) 224-8534

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFINANCIAL ALLIANCE, LLC ADV PART 2A/PART 2BS (2/7/2025)

Regulatory assets under management

Total Number of Accounts	707
AUM (Assets Under Management)	$ 225,764,268

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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Firm Stability Insights

Frederick A. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Allan Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

ORIGIN INVESTMENT ADVISORY LLC

TREE STREET ADVISORY, LLC

TAYLOR SECURITIES, INC.

TAYLOR SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

EFINANCIAL ALLIANCE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 3/14/2006

Current Firm

EFINANCIAL ALLIANCE, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EFINANCIAL ALLIANCE, LLC

TRUST BUT VERIFY

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