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MP

Maxwell J. Phillips

CHANNEL WEALTH
SANTA BARBARA, CA 93105
Some features on this profile are disabled
CRD#: 4953387
MP

Professional summary

Maxwell Joel Phillips, AIF®, who also goes by Max Phillips, is a registered financial advisor currently at CHANNEL WEALTH, LLC located in Santa Barbara, California.

Maxwell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Maxwell has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Max Phillips

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. TRUSTEE; POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: YES NUMBER OF HOURS: 6 INVESTMENT RELATED HOURS: 0 START DATE: 06/03/2013; 221 W. ANAPAMU STREET, #5, SANTA BARBARA CA 93101; DESCRIPTION: CORRESPONDENCE WITH PROPERTY MANAGER AND PARTNER 2. MAXWELL PHILLIPS - INSURANCE AGENT POSITION: Statutory Agent - NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 4 START DATE: 03/15/2005 ADDRESS: 3700 State Street Suite 240 Santa Barbara, CA 93105, Santa Barbara CA 93105, United States DESCRIPTION: traditional insurance sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxwell Joel 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®
AIF®

Accredited Investment Fiduciary

Experience

Current

October 28, 2022 - Present

CHANNEL WEALTH, LLC

Office #1: 3760 State Street Suite 201, Santa Barbara, CA 93105
RIA
CRD#: 323461
SANTA BARBARA, CA
Past

July 6, 2012 - November 1, 2022

OSAIC SERVICES, INC.

RIA
CRD#: 133763
SANTA BARBARA, CA
Past

January 18, 2012 - November 1, 2022

OSAIC SERVICES, INC.

BD
CRD#: 133763
SANTA BARBARA, CA
Past

January 23, 2009 - January 18, 2012

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SANTA BARBARA, CA
Past

February 7, 2008 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

BD
CRD#: 40395
SANTA BARBARA, CA
Past

November 18, 2005 - April 30, 2007

BRECEK & YOUNG ADVISORS, INC.

BD
CRD#: 40395
SANTA BARBARA, CA

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".
CW
CHANNEL WEALTH, LLC
CHANNEL WEALTH, LLC

CRD#: 323461 / SEC#: 801-126767

RIA
Registered Investment Advisory firm - (10/25/2022 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.

Highlighted states indicate IAR registrations

IAR
California
(10/28/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/30/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/12/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/16/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CW
CHANNEL WEALTH, LLC
CHANNEL WEALTH, LLC

CRD#: 323461 / SEC#: 801-126767

RIA
Registered Investment Advisory firm - (10/25/2022 Approved)
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Contact information

Main Address
3760 State Street Suite 201, Santa Barbara, CA 93105
Mailing Address
Phone number
(805) 898-0893
Established
Firm type
Fiscal year end
# of Employees
17

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CHANNEL WEALTH ADV PART 2A (7/11/2025)

Regulatory assets under management

Total Number of Accounts1,796
AUM (Assets Under Management)$ 833,014,360

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.

Company Information

CHANNEL WEALTH, LLC

CRD#: 323461Santa Barbara, CA 93105

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