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Richard Dan Phillips

Transamerica Financial Advisors, Inc.

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About Richard Dan Phillips

Richard Dan Phillips is a financial advisor with Transamerica Financial Advisors, Inc. Richard has been in the industry for over 30 years and is registered in Utah. Richard holds Series 63, 65, and SIE licenses and specializes in insurance and non-insurance products. Richard also has experience working with clients in the defense aerospace industry.

Firm Information

Richard Phillips is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

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 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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Richard Phillips’s Registration & Firm History

UT

07/22/2024 - Present

Transamerica Financial Advisors, Inc. (SO. JORDAN UT)

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Licenses & Designations

IA

Issued 07/20/2024

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/16/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/25/2019

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 09/13/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Dan Phillips.
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