Mary F. Phillips

FREEDOM FUNDS MANAGEMENT CO

DENVER, CO 80202-5835

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CRD#: 702251

Professional summary

Mary Frances Phillips, who also goes by Mary Frances Doyle, is a registered financial advisor currently at FREEDOM FUNDS MANAGEMENT CO located in Denver, Colorado.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Mary has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Frances Doyle

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) FREEDOM FUNDS MANAGEMENT COMPANY (RIA) - OPERATIONS MANAGER. DUTIES INCLUDE MANAGING OPERATIONS AND FUND ACCOUNT. SPEND APPROX. 160 HOURS/MONTH, ALL DURING NORMAL BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Frances Phillips'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

January 1, 1999 - Present

FREEDOM FUNDS MANAGEMENT CO

Office #1: 1200 17th St #1000, Denver, CO 80202-5835

RIA

CRD#: 110785

DENVER, CO

Past

June 29, 2016 - March 22, 2018

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

DENVER, CO

Past

December 8, 1994 - April 7, 2016

SMITH HAYES FINANCIAL SERVICES CORPORATION

CRD#: 17059

DENVER, CO

Past

May 22, 1990 - November 28, 1994

HANIFEN, IMHOFF INC.

CRD#: 2126

DENVER, CO

Past

March 17, 1982 - April 27, 1983

LEHMAN BROTHERS INC.

CRD#: 7506

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".

FREEDOM FUNDS MANAGEMENT CO

CRD#: 110785 / SEC#: 801-28640

RIA

Registered Investment Advisory firm - (1/16/1987 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/1/1999)

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

Series 63

Date: 11/22/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1990

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 12/13/1979

Registered Representative Examination

Current Firm

FREEDOM FUNDS MANAGEMENT CO

CRD#: 110785 / SEC#: 801-28640

RIA

Registered Investment Advisory firm - (1/16/1987 Approved)

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Contact information

Main Address

1200 17th St Ste 850, Denver, CO 80202-5808

Mailing Address

Phone number

(303) 572-6990

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 1,904,351,438

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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Firm Stability Insights

Mary F. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Frances Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLORADO FINANCIAL SERVICE CORPORATION

SMITH HAYES FINANCIAL SERVICES CORPORATION

HANIFEN, IMHOFF INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

FREEDOM FUNDS MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 63

Date: 11/22/2016

SIE

Date: 3/22/2018

Series 7

Date: 5/19/1990

Series 1

Date: 12/13/1979

Current Firm

FREEDOM FUNDS MANAGEMENT CO

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

FREEDOM FUNDS MANAGEMENT CO

TRUST BUT VERIFY

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