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William Francis Phillips iii

Ocean Park Asset Management, LLC

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About William Francis Phillips iii

William Phillips is a financial advisor with over 20 years of experience in the industry. He is currently registered with Ocean Park Asset Management, LLC and has previously worked with other firms including NYLIFE Distributors LLC, Thornburg Securities Corporation, Raymond James Financial Services, Inc. and Raymond James & Associates, Inc. William holds a Series 7, Series 63, Series 65 and SIE licenses and specializes in securities, investments and financial planning. He focuses on providing investment advice to high-net-worth individuals, investment companies, and other investment advisors.

Firm Information

William Phillips iii is currently registered with Ocean Park Asset Management, LLC. Ocean Park Asset Management, LLC is an investment advisor located in Santa Monica, CA. The firm manages a total of $4.72 billion in assets. They provide portfolio management services for individuals, investment companies, and pooled investment vehicles. They also offer wrap fee program participation. The firm has a total of 31 registered representatives and 13 investment advisor representatives.
Ocean Park Asset Management, LLC

3420 OCEAN PARK BLVD.

SANTA MONICA, CA 90405

$4.72B

Assets Under Management

16

Total Clients

13

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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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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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William Phillips iii’s Registration & Firm History

MI

10/30/2024 - Present

Ocean Park Asset Management, LLC (SOUTH HAVEN MI)

NJ

12/05/2007 - 09/03/2015

NYLIFE DISTRIBUTORS LLC (JERSEY CITY NJ)

NM

01/03/2006 - 12/03/2007

THORNBURG SECURITIES CORPORATION (SANTA FE NM)

FL

05/16/2005 - 12/08/2005

RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)

ME

11/18/2002 - 04/25/2005

AFBA FIVE STAR SECURITIES COMPANY (PORTLAND ME)

FL

05/26/1999 - 08/19/2002

RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)

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Licenses & Designations

IA

Issued 09/09/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/09/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/25/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Francis Phillips iii.
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