Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brandy? Claim Your ProfileBrandy Phipps is a financial advisor with over 20 years of experience in the financial services industry. Brandy has held previous roles at Oppenheimer & Co. Inc., Morgan Stanley, and Cambridge Investment Research, Inc. Brandy is currently registered with LPL Financial LLC and holds Series 3, 7, 9, 10, 63 and 66 licenses. Brandy's areas of specialization include Retirement Planning, College Savings, Estate Planning, Insurance, Mutual Funds, and Annuities.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
09/14/2021 - Present
LPL Financial LLC (SAN DIEGO CA)
TX
06/16/2015 - 09/03/2021
CAMBRIDGE INVESTMENT RESEARCH, INC. (Carrollton TX)
TX
12/10/2014 - 05/21/2015
OPPENHEIMER & CO. INC. (DALLAS TX)
TX
06/01/2009 - 06/27/2013
MORGAN STANLEY (PLANO TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (DALLAS TX)
TX
05/28/2003 - 04/02/2007
MORGAN STANLEY DW INC. (DALLAS TX)
NY
10/01/1998 - 04/29/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NJ
03/30/1998 - 09/16/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/17/1996 - 04/15/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 12/22/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/22/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/23/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2010
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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