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Kathy L Phillips

PNC Investments

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About Kathy L Phillips

Kathy Phillips is a financial advisor at PNC Investments. Kathy has been a Registered Representative since 2014 and currently holds Series 6, 7, 63, and 66 licenses. Kathy has experience working with individuals, corporations, and retirement plans. Kathy also provides investment advice for charitable organizations. PNC Investments is a large investment firm that offers a variety of financial services, including investment management, financial planning, and retirement planning.

Firm Information

Kathy 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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Kathy Phillips’s Registration & Firm History

TX

07/13/2023 - Present

PNC Investments (CARROLLTON TX)

TX

11/18/2022 - 07/13/2023

LPL FINANCIAL LLC (DALLAS TX)

PA

06/03/2022 - 11/18/2022

PNC INVESTMENTS (PITTSBURGH PA)

TX

04/17/2018 - 06/02/2021

BBVA SECURITIES INC. (DALLAS TX)

TX

06/17/2016 - 01/26/2018

FARMERS FINANCIAL SOLUTIONS, LLC (Lewisville TX)

TX

02/10/2015 - 04/02/2016

J.P. MORGAN SECURITIES LLC (MESQUITE TX)

TX

11/12/2014 - 01/30/2015

BBVA SECURITIES INC. (DALLAS TX)

AL

10/06/2006 - 07/09/2007

COLONIAL BROKERAGE, INC. (MONTGOMERY AL)

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Licenses & Designations

BOTH

Issued 05/11/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/30/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/11/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/12/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Kathy L Phillips. Review regulatory record here.
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