Phylip C. Simmons

ATS WEALTH MANAGEMENT

San Diego, CA 92121

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CRD#: 5950595

Professional summary

Phylip Charles Simmons is a registered financial advisor currently at ATS WEALTH MANAGEMENT located in San Diego, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Phylip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Phylip has worked at 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phylip Charles Simmons'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®

None

Experience

Current

October 15, 2020 - Present

ATS WEALTH MANAGEMENT

Office #1: 5435 Oberlin Dr. Suite 200, San Diego, CA 92121

RIA

CRD#: 137705

San Diego, CA

Current

January 22, 2026 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

September 5, 2025 - January 21, 2026

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN DIEGO, CA

Past

September 5, 2025 - January 21, 2026

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SAN DIEGO, CA

Past

May 5, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

SAN DIEGO, CA

Past

May 5, 2022 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

SAN DIEGO, CA

Past

October 25, 2018 - May 6, 2022

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SAN DIEGO, CA

Past

October 24, 2018 - May 6, 2022

FSC SECURITIES CORPORATION

CRD#: 7461

SAN DIEGO, CA

Past

February 6, 2017 - May 4, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

December 12, 2016 - May 4, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN DIEGO, 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".

ATS WEALTH MANAGEMENT

CRD#: 137705 / SEC#: 801-119682

RIA

Registered Investment Advisory firm - (10/23/2020 Approved)

California

Registered Investment Advisory firm - (12/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (11/13/2020 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.

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

IAR

California
(10/15/2020)

California
(1/22/2026)

Massachusetts
(2/26/2026)

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: 2/4/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ATS WEALTH MANAGEMENT

CRD#: 137705 / SEC#: 801-119682

RIA

Registered Investment Advisory firm - (10/23/2020 Approved)

California

Registered Investment Advisory firm - (12/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (11/13/2020 Terminated)

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Contact information

Main Address

5435 Oberlin Dr. Suite 200, San Diego, CA 92121

Mailing Address

Phone number

(858) 643-5757

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ATS WEALTH MANAGEMENT - FORM ADV PART 2A - FEBRUARY 2026 (2/24/2026)

Regulatory assets under management

Total Number of Accounts	1,229
AUM (Assets Under Management)	$ 383,571,666

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

Phylip C. Simmons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phylip Charles Simmons's CRS (Customer Relationship Summary).

Certified licenses

Experience

ATS WEALTH MANAGEMENT

THE LEADERS GROUP, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ATS WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 2/4/2017

SIE

Date: 5/4/2018

Series 7

Date: 12/12/2016

FINRA

Current Firm

ATS WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ATS WEALTH MANAGEMENT

TRUST BUT VERIFY

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