Colin F. Philips

CAST MEMBER FINANCIAL LLC

OCOEE, FL

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CRD#: 6453467

Professional summary

Colin Frederick Philips, CFP® is a registered financial advisor currently at CAST MEMBER FINANCIAL LLC located in Ocoee, Florida.

Colin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Colin has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 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.) Significant Wealth Management Inc DBA The LifeWealth Group; Yes Investment Related; 270 West Plant ST Suite 240 Winter Garden, Florida 34787; Sales of Securities and Variable products, insurance sales; Lead Advisor; Start date 11/2021; 160 Hrs During the month; 160 Hrs During trading; Develop and implement financial plans. 2.) MADISON AVENUE SECURITIES; YES INVESTMENT RELATED; 13500 EVENING CREEK DRIVE N SUITE 555, SAN DIEGO CA 92128; SECURITIES SALES; REGISTERED REPRESENTATIVE; START DATE: 03/2022 APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; SECURITIES SALES AND SERVICES. 3.) AE WEALTH MANAGEMENT, LLC; YES INVESTMENT RELATED; 2950 SW MCCLURE RD SUITE B, TOPEKA, KS 66614 ; NATURE INVESTMENT ADVICE FOR FEE; INVESTMENT ADVISOR REPRESENTATIVE; START DATE 12/2021; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; SECURITIES SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Frederick Philips'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®

CFP^®

Certified Financial Planner

Experience

Current

May 30, 2024 - Present

CAST MEMBER FINANCIAL LLC

RIA

CRD#: 329857

OCOEE, FL

Past

November 15, 2022 - October 10, 2023

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

ORLANDO, FL

Past

November 9, 2022 - October 10, 2023

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ORLANDO, FL

Past

March 14, 2022 - May 9, 2022

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

SAN DIEGO, CA

Past

December 13, 2021 - May 6, 2022

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Winter Garden, FL

Past

July 10, 2018 - December 22, 2021

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

ORLANDO, FL

Past

March 15, 2016 - July 10, 2018

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Orlando, FL

Past

November 9, 2015 - December 22, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Orlando, FL

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

Florida
(5/30/2024)

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: 3/14/2016

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: 11/9/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/22/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/30/2016

General Securities Sales Supervisor - Options Module Examination

Current Firm

CAST MEMBER FINANCIAL LLC

CRD#: 329857 / SEC#:

Florida

Registered Investment Advisory firm - (5/30/2024 Approved)

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Contact information

Main Address

Ocoee, FL

Mailing Address

Phone number

(407) 819-7592

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 1,031,339

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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Colin F. Philips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Frederick Philips's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

MADISON AVENUE SECURITIES, LLC

AE WEALTH MANAGEMENT, LLC

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/14/2016

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2015

Series 10

Date: 11/22/2016

Series 9

Date: 7/30/2016

Current Firm

CAST MEMBER FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAST MEMBER FINANCIAL LLC

TRUST BUT VERIFY

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