Stacy A. Phillips

FOUR QUADRANT WEALTH ADVISORS

Carmel, IN 46032

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CRD#: 4961703

Professional summary

Stacy Alan Phillips, CFP® is a registered financial advisor currently at FOUR QUADRANT WEALTH ADVISORS, INC. located in Carmel, Indiana.

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

Experience

Current

May 4, 2018 - Present

FOUR QUADRANT WEALTH ADVISORS, INC.

Office #1: 11939 N Meridian St Ste 225, Carmel, IN 46032

RIA

CRD#: 130753

Carmel, IN

Past

November 15, 2017 - February 22, 2018

OSAIC SERVICES, INC.

RIA

CRD#: 133763

INDIANAPOLIS, IN

Past

September 10, 2015 - February 22, 2018

OSAIC SERVICES, INC.

CRD#: 133763

INDIANAPOLIS, IN

Past

September 19, 2011 - September 10, 2015

NATIONAL PLANNING CORPORATION

CRD#: 29604

INDIANAPOLIS, IN

Past

April 7, 2010 - September 23, 2011

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

INDIANAPOLIS, IN

Past

November 23, 2009 - March 30, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

INDIANAPOLIS, IN

Past

June 9, 2005 - March 10, 2009

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

INDIANAPOLIS, IN

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".

FOUR QUADRANT WEALTH ADVISORS, INC.

FOUR QUADRANT ADVISORY | FOUR QUADRANTS | FOUR QUADRANT WEALTH ADVISORS, INC. | FOUR QUADRANT WEALTH ADVISORS | FOUR QUADRANT ADVISORY COMPANIES

CRD#: 130753 / SEC#: 801-126014

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

Florida

Registered Investment Advisory firm - (8/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (8/25/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (8/30/2022 Terminated)

Michigan

Registered Investment Advisory firm - (9/1/2022 Terminated)

Texas

Registered Investment Advisory firm - (8/25/2022 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

Indiana
(5/4/2018)

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: 11/14/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/24/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/8/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/31/2011

General Securities Principal Examination

Current Firm

FOUR QUADRANT WEALTH ADVISORS, INC.

FOUR QUADRANT ADVISORY | FOUR QUADRANTS | FOUR QUADRANT WEALTH ADVISORS, INC. | FOUR QUADRANT WEALTH ADVISORS | FOUR QUADRANT ADVISORY COMPANIES

CRD#: 130753 / SEC#: 801-126014

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

Florida

Registered Investment Advisory firm - (8/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (8/25/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (8/30/2022 Terminated)

Michigan

Registered Investment Advisory firm - (9/1/2022 Terminated)

Texas

Registered Investment Advisory firm - (8/25/2022 Terminated)

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Contact information

Main Address

11939 N Meridian St Ste 225, Carmel, IN 46032

Mailing Address

Phone number

(877) 441-5144

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

FOUR QUADRANT WEALTH ADVISORS, INC. ADV BROCHURE (8/26/2025)

Regulatory assets under management

Total Number of Accounts	484
AUM (Assets Under Management)	$ 171,842,155

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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Advisor Monitoring

Firm Stability Insights

Stacy A. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy Alan Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

NATIONAL PLANNING CORPORATION

J.P. TURNER & COMPANY, L.L.C.

GUNNALLEN FINANCIAL, INC

ALLSTATE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FOUR QUADRANT WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2017

Series 63

Date: 5/24/2005

SIE

Date: 2/22/2018

Series 7

Date: 8/4/2010

Series 6

Date: 6/8/2005

Series 24

Date: 3/31/2011

Current Firm

FOUR QUADRANT WEALTH ADVISORS, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUR QUADRANT WEALTH ADVISORS, INC.

TRUST BUT VERIFY

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