Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn David Phipps is a financial advisor with over 39 years of experience in the financial services industry. John is registered with Janney Montgomery Scott LLC and has experience working with a variety of clients including high net worth individuals, pension and profit sharing plans, corporations and other businesses, individuals other than high net worth, and state or municipal government entities. John has a Series 6, Series 7, and Series 63 license as well as the Series 65 license.
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.
Fee plus commission
1
2
VA
04/16/2009 - Present
Janney Montgomery Scott LLC (RICHMOND VA)
VA
02/21/2006 - 05/05/2009
CITIGROUP GLOBAL MARKETS INC. (RICHMOND VA)
MD
10/15/1987 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NA
10/15/1987 - 11/04/1987
LEGG MASON MASTEN INC.
NA
10/29/1984 - 10/27/1987
PAINEWEBBER INCORPORATED
NA
04/09/1984 - 10/14/1986
HOME LIFE INSURANCE COMPANY
NA
04/09/1984 - 11/14/1984
HOME LIFE EQUITY SALES CORP.
IA
Issued 09/27/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1984
Series 7 - General Securities Representative Examination
BC
Issued 04/06/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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