Phillip D. Richey

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CRD#: 5375720

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Phillip Daniel Richey, who also goes by Dan Richey, Phillip Dan Richey, was a registered financial professional .

Phillip is a previously registered financial professional and started their career in finance in 2007. Phillip had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Richey | Phillip Dan Richey

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 13, 2017 - June 10, 2020

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

DALLAS, TX

Past

December 10, 2010 - June 21, 2017

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FORT WORTH, TX

Past

November 1, 2010 - June 21, 2017

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

July 8, 2008 - October 29, 2010

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

July 8, 2008 - October 29, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FORT WORTH, TX

Past

July 8, 2008 - June 21, 2017

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

January 8, 2008 - July 10, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

September 21, 2007 - December 19, 2007

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

LEWISVILLE, TX

Past

August 22, 2007 - December 19, 2007

USA FINANCIAL SECURITIES LLC

CRD#: 103857

ADA, MI

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".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/20/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/15/2011

General Securities Principal Examination

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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Contact information

Main Address

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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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Advisor Monitoring

Firm Stability Insights

Phillip D. Richey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

FIDELITY BROKERAGE SERVICES LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2007

SIE

Date: 6/21/2017

Series 7

Date: 8/21/2007

Series 24

Date: 2/15/2011

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

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