George D. Phipps
RALEIGH CAPITAL MANAGEMENT
CARY, NC 27511
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CRD#: 6581172
Professional summary
George Dylan Phipps, CFP® is a registered financial advisor currently at RALEIGH CAPITAL MANAGEMENT INC. located in Cary, North Carolina and GREAT POINT CAPITAL LLC located in Cary, North Carolina.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. George has worked at 9 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) George Phipps is an insurance agent with Raleigh Wealth Solutions, a life insurance company. The address of Raleigh Wealth Solutions is 117 Edinburgh South Drive, Suite 110, Cary, NC 27511. The start date is Aug 2024. He plans to spend 2 hours per month during normal trading hours and 0 hours per month outside of normal trading hours. This is not investment related. 2) Great Point Capital LLC - a FINRA registered broker / dealer. Investment-related - Yes. Address of the other business - 200 W Jackson #1000 Chicago, IL 60606. Nature of the other business - Registered Representative offering alternative investments. Position, title, or relationship with the other business - Registered Representative. Start date of relationship, August 2024. Approximate number of hours/month devoted to the other business - 20 hours a month. Approximate number of hours devoted to the other business during securities trading hours - 20 hours per month. Duties relating to the other business - Research and implement alternative investment strategies as part of a comprehensive wealth management approach to financial planning.
CRS (Client Relationship Summary) - RIA
Click below to view George Dylan Phipps'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®
Start date: 2018
Experience
Current
July 4, 2024 - Present
RALEIGH CAPITAL MANAGEMENT INC.
Office #1: 117 Edinburgh South Drive Suite 110, Cary, NC 27511RIA
CRD#: 149538
CARY, NC
Current
August 20, 2024 - Present
GREAT POINT CAPITAL LLC
Office #1: 117 Edinburgh South Drive Suite 110, Cary, NC 27511BD
CRD#: 114203
Cary, NC
Past
September 8, 2022 - April 18, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
CARY, NC
Past
November 12, 2020 - April 18, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CARY, NC
Past
October 27, 2020 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
CARY, NC
Past
October 20, 2020 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
CARY, NC
Past
July 13, 2018 - October 14, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
January 4, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
DURHAM, NC
Past
January 14, 2016 - October 13, 2020
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DURHAM, NC
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".
RC
RALEIGH CAPITAL MANAGEMENT INC.
RALEIGH CAPITAL MANAGEMENT INC. | TRUWEALTH CAPITAL MANAGEMENT, INC. | RALEIGH CAPITAL MANAGEMENT, INC.
CRD#: 149538 / SEC#: 801-121781
RIA
Registered Investment Advisory firm - (7/16/2021 Approved)North Carolina
Registered Investment Advisory firm - (8/17/2021 Terminated)Texas
Registered Investment Advisory firm - (8/13/2021 Terminated)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
North Carolina(7/4/2024)
RR
North Carolina(8/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RC
RALEIGH CAPITAL MANAGEMENT INC.
RALEIGH CAPITAL MANAGEMENT INC. | TRUWEALTH CAPITAL MANAGEMENT, INC. | RALEIGH CAPITAL MANAGEMENT, INC.
CRD#: 149538 / SEC#: 801-121781
RIA
Registered Investment Advisory firm - (7/16/2021 Approved)North Carolina
Registered Investment Advisory firm - (8/17/2021 Terminated)Texas
Registered Investment Advisory firm - (8/13/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
117 Edinburgh South Drive Suite 110, Cary, NC 27511
Mailing Address
Phone number
(919) 852-1215
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,628 |
| AUM (Assets Under Management) | $ 320,626,592 |
Red Flags
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Company Information
RALEIGH CAPITAL MANAGEMENT INC.
CRD#: 149538Cary, NC 27511TRUST BUT VERIFY
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