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William Phillips

LPL Financial LLC
40 Years of Experience
Brentwood, TN
4 DisclosuresBroker
View SEC Summary
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William Phillips is a registered investment advisor at LPL Financial LLC, based in Brentwood, TN, with 40 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5050 Thoroughbred Ln Ste B, Brentwood, TN, 37027

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
June 2010
Final
Regulatory
July 2009
Final
Customer Dispute
January 2003
Settled
Customer Dispute
December 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William is an uncompensated board member and chairman of the board for The Signatry's TN Advisory, a Christian foundation, dedicating minimal time. He is also an advisor to TripScout Inc, a travel business, and a board member for JCF HV Rescue Co, a real estate company, spending minimal time on each.

Employment History
Current Registrations
LPL Financial LLCBroker
October 2025 - Present · 1 yr
LPL Financial LLC
October 2025 - Present · 1 yr
Previous Registrations
&partners
June 2006 - October 2025 · 19 yrs 4 mos
&partnersBroker
April 2006 - October 2025 · 19 yrs 6 mos
Morgan Stanley
February 2005 - April 2006 · 1 yr 2 mos
Morgan Stanley
December 2002 - February 2005 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
March 2000 - April 2006 · 6 yrs 1 mo
Painewebber IncorporatedBroker
March 1990 - March 2000 · 10 yrs
Shearson Lehman Hutton INC.Broker
May 1988 - April 1990 · 1 yr 11 mos
J.C. Bradford & CO.Broker
April 1987 - May 1988 · 1 yr 1 mo
Morgan Keegan & Company, INC.Broker
March 1986 - May 1987 · 1 yr 2 mos
State Registrations13 states
ALARCTDCFLGAKYNCNYPASCTNTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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