Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Robert Phillips is a financial professional with over 38 years of experience in the financial services industry. John has held various roles at several firms, including BANCWEST INVESTMENT SERVICES, INC., ROYAL ALLIANCE ASSOCIATES, INC., and HARTFORD EQUITY SALES COMPANY INC. John is currently registered with LPL Financial LLC as a Registered Representative and Investment Advisor Representative. John is a Certified Financial Planner and a Chartered Financial Consultant. John specializes in providing financial advice to individuals, corporations, and charitable organizations. John is dedicated to helping clients 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.
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.
1
2
CA
01/01/2025 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
08/26/2013 - 09/14/2023
BANCWEST INVESTMENT SERVICES, INC. (OXNARD CA)
CA
01/27/2012 - 07/10/2013
ROYAL ALLIANCE ASSOCIATES, INC. (LOS ANGELES CA)
CT
06/22/2001 - 12/22/2011
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
MN
08/31/1994 - 05/07/2001
SECURIAN FINANCIAL SERVICES, INC. (ST. PAUL MN)
DE
02/17/1994 - 09/01/1994
PML SECURITIES COMPANY (NEWARK DE)
AZ
01/20/1994 - 07/11/1994
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
VT
10/11/1990 - 01/20/1994
EQUITY SERVICES, INC. (MONTPELIER VT)
NA
08/04/1989 - 09/21/1990
DIEHL & COMPANY
NA
06/15/1984 - 04/11/1989
CALVERT SECURITIES CORPORATION
IA
Issued 06/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/26/1986
Series 24 - General Securities Principal Examination
BC
Issued 11/21/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure John Phillips is the right advisor for you? Invested Better is here to help.
