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Joseph Phillips

PNC Investments

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About Joseph Phillips

Joseph Phillips is a financial advisor with PNC Investments. He is a registered representative in Indiana and Kentucky. Joseph Phillips holds Series 6, 7, 63, and 66 licenses and has been in the financial services industry for over 10 years. He has worked at several firms including J.P. Morgan Securities LLC, Silver Oak Securities, Incorporated, and Fifth Third Securities, Inc.. Joseph Phillips specializes in investment strategies for high-net-worth individuals, corporations, and pension plans.

Firm Information

Joseph Phillips is currently registered with PNC Investments. PNC Investments, a Limited Liability Company formed in 2003, provides investment advisory services across the United States. They manage a wide range of client assets, including those of individuals, high-net-worth individuals, corporations, pension plans, charitable organizations, and churches. PNC Investments offers portfolio management services for individuals and businesses, as well as selection of other advisors. They also participate in wrap fee programs.
PNC Investments

300 FIFTH AVENUE

PITTSBURGH, PA 15222-2722

$23.90B

Assets Under Management

Not reported

Total Clients

1,112

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Joseph Phillips’s Registration & Firm History

KY

09/06/2023 - Present

PNC Investments (LOUISVILLE KY)

KY

02/16/2022 - 08/26/2023

J.P. MORGAN SECURITIES LLC (LOUISVILLE KY)

KY

06/14/2021 - 09/24/2021

SILVER OAK SECURITIES, INCORPORATED (Louisville KY)

KY

03/03/2015 - 11/14/2016

FIFTH THIRD SECURITIES, INC. (LOUISVILLE KY)

IN

12/15/2009 - 02/28/2014

FIFTH THIRD SECURITIES, INC. (NEW ALBANY IN)

IN

10/29/2007 - 04/17/2009

CHASE INVESTMENT SERVICES CORP. (CLARKSVILLE IN)

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Licenses & Designations

BOTH

Issued 07/08/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/09/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/14/2021

Series 7TO - General Securities Representative Examination

BC

Issued 03/15/2021

SIE - Securities Industry Essentials Examination

BC

Issued 10/26/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph Phillips.
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