PS
Phylip C. Simmons
ATS WEALTH MANAGEMENT
San Diego, CA 92121
Some features on this profile are disabled
CRD#: 5950595
PS
Professional summary
Phylip Charles Simmons is a registered financial advisor currently at ATS WEALTH MANAGEMENT located in San Diego, California and CETERA INVESTMENT ADVISERS LLC located in San Diego, California.
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 7 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) ATS ADVANCED TRUSTEE STRATEGIES, INC. POSITION: ATS Wealth Strategist NATURE: DBA for broker dealer business. Financial Advisor for DBA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 10/10/2018 ADDRESS: 5435 Oberlin Drive, Suite 200, San Diego CA 92121, United States DESCRIPTION: Engage in client support; client meetings and financial advisory services 2) SANDEEP VARMA WEALTH STRATEGIES LLC DBA ATS WEALTH MANAGEMENT POSITION: Investment Advisor Representative NATURE: Investment Adviser Representative of ATS Wealth Management ("ATS"): which is a federally registered investment adviser through which (s)he provides investment management and financial planning services. ATS is not affiliated with any of the companies providing financial services under the Avantax name. Engaging in the provision of advisory services through ATS requires a substantial amount of time, provides a substantial source of compensation, and presents conflicts of interest with services provided by Avantax Advisory Services. To mitigate conflicts of interest, we provide this disclosure to you. DBA ATS Wealth Management will also be used to market Avantax business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING 1) HOURS: 80 START DATE: 10/10/2018 ADDRESS: 5435 Oberlin Drive, Suite 200, San Diego CA 92121, United States DESCRIPTION: Investment Advisor Representative registered under the RIA "ATS Wealth Management." This includes: Client meetings & financial advisory services. 3) MANZANA 1505 LLC POSITION: Manager/Agent NATURE: LLC owns and operates a rental property. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 02/11/2025 ADDRESS: 1168 Battle Creek Rd., Chula Vista CA 91913, United States DESCRIPTION: Overseeing the ongoing process of renting the property owned by the LLC. Including, but not limited to, finding renters, paying bills, and maintenance/upkeep. 4) MANZANA 1447 LLC POSITION: Manager/Agent NATURE: LLC owns and operates a rental property. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 01/14/2025 ADDRESS: 1168 Battle Creek Rd., Chula VIsta CA 91913, United States DESCRIPTION: Overseeing the ongoing process of renting the property owned by the LLC. Including, but not limited to, finding renters,paying bills, and maintenance/upkeep.
CRS (Client Relationship Summary) - RIA
Click below to view Phylip Charles Simmons'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®
NoneExperience
Current
October 15, 2020 - Present
ATS WEALTH MANAGEMENT
Office #1: 5435 Oberlin Dr. Suite 200, San Diego, CA 92121RIA
CRD#: 137705
San Diego, CA
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5435 Oberlin Drive, Suite 200, San Diego, CA 92121RIA
CRD#: 105644
SAN DIEGO, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5435 Oberlin Drive, Suite 200, San Diego, CA 92121BD
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.
BD
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
BD
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
BD
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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)
RR
California(9/5/2025)
RR
Massachusetts(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
