Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Michael Phillips is a financial advisor with Stephens. David has been in the industry since 1992 and is registered with the state of Arkansas as an Investment Advisor Representative and also a registered representative. David has also been registered in Texas since 2014. David previously worked at Henderson Securities, Inc. and Worthen Investments, Inc. David is a highly experienced advisor who has worked with a wide range of clients, including high-net-worth individuals, corporations, and pension plans. David specializes in portfolio management, financial planning, and pension consulting. David is committed to providing his clients with personalized service and helping them achieve their financial goals.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
AR
04/16/2014 - Present
Stephens (LITTLE ROCK AR)
NA
11/28/1994 - 05/12/1995
HENDERSON SECURITIES, INC.
AR
08/14/1991 - 11/21/1994
WORTHEN INVESTMENTS, INC. (LITTLE ROCK AR)
IA
Issued 06/15/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/16/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/16/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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