Phillip J. Dutra

ARBOR WEALTH MANAGEMENT

Walnut Creek, CA 94598

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CRD#: 5608599

Professional summary

Phillip Joseph Dutra is a registered financial advisor currently at ARBOR WEALTH MANAGEMENT located in Walnut Creek, California and OSAIC WEALTH, INC. located in Walnut Creek, California.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Phillip has worked at 5 firms and has passed the Series 66, SIE and Series 7 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. ARBOR WEALTH MANAGEMENT POSITION: IAR NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/06/2016 ADDRESS: 2855 MITCHELL DRIVE, WALNUT CREEK CA 94598, United States DESCRIPTION: reviewing client portfolios managing client expectations 2. PHILLIP DUTRA POSITION: agent NATURE: sole proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/06/2016 ADDRESS: 2700 Ygnacio Valley Road Suite, 275, WALNUT CREEK CA 94598, United States DESCRIPTION: if client comes to me and needs insurance then we will discuss his needs 3. PHILLIP DUTRA POSITION: Angler/Guide NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 315 Jordan Lane SE, Arab AL 35016, United States DESCRIPTION: tournament bass fishing competition and occasional guide for fishing

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Joseph Dutra'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®

None

Experience

Current

November 14, 2017 - Present

ARBOR WEALTH MANAGEMENT

Office #1: 2700 Ygnacio Valley Road 275, Walnut Creek, CA 94598

RIA

CRD#: 289324

Walnut Creek, CA

Current

November 3, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 2700 Ygnacio Valley Road Suite 275, Walnut Creek, CA 94598

RIA

CRD#: 23131

Walnut Creek, CA

Past

July 16, 2016 - December 14, 2017

ARBOR WEALTH MANAGEMENT

RIA

CRD#: 134711

Walnut Creek, CA

Past

April 27, 2016 - July 14, 2016

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

WALNUT CREEK, CA

Past

April 26, 2016 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

WALNUT CREEK, CA

Past

July 16, 2015 - April 20, 2016

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

WALNUT CREEK, CA

Past

April 1, 2015 - April 20, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WALNUT CREEK, CA

Past

October 4, 2010 - October 31, 2012

FSC SECURITIES CORPORATION

CRD#: 7461

WALNUT CREEK, CA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/3/2023)

Arizona
(11/3/2023)

IAR

California
(11/14/2017)

California
(11/3/2023)

Colorado
(1/8/2024)

Florida
(11/3/2023)

Hawaii
(11/3/2023)

Montana
(11/3/2023)

Nevada
(11/3/2023)

Oregon
(11/3/2023)

Pennsylvania
(11/3/2023)

Tennessee
(11/3/2023)

Texas
(11/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/5/2015

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: 4/1/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ARBOR WEALTH MANAGEMENT

AGUIAR, STEPHEN, JOHN | ARBOR WEALTH MANAGEMENT

CRD#: 289324 / SEC#:

California

Registered Investment Advisory firm - (11/14/2017 Approved)

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Contact information

Main Address

2700 Ygnacio Valley Road 275, Walnut Creek, CA 94598

Mailing Address

Phone number

925-947-0900 EXT. 111

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	358
AUM (Assets Under Management)	$ 104,410,488

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Phillip J. Dutra

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Joseph Dutra's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

ARBOR WEALTH MANAGEMENT

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 6/5/2015

SIE

Date: 10/1/2018

Series 7

Date: 4/1/2015

FINRA

Current Firm

ARBOR WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARBOR WEALTH MANAGEMENT

TRUST BUT VERIFY

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