Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Phillips is a financial professional with over 13 years of experience in the industry. Patrick has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since March 2017. Prior to joining Merrill Lynch, Patrick worked at Wells Fargo Advisors, LLC and BancWest Investment Services, INC. Patrick holds Series 6, 7, 63 and 65 licenses. Patrick has extensive experience in financial planning, investment management, and portfolio management. Patrick has a special focus on serving high-net-worth individuals, corporations and other businesses, insurance companies, charitable organizations, and pension and profit-sharing plans.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
05/19/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
01/07/2016 - 04/27/2016
BANCWEST INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
CA
05/27/2011 - 01/04/2016
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
IA
Issued 4/8/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/8/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2012
Series 7 - General Securities Representative Examination
BC
Issued 5/26/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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