Dean Phillips is a registered investment advisor at LPL Financial LLC, based in Vero Beach, FL, with 28 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Vero Beach, FL
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Dean operates his LPL business through Phillips Private Wealth, LLC. He also owns two rental properties and receives royalties from Ascent Resources- Utica, LLC, dedicating minimal time to these activities.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
M.J. Whitman LLCBroker
Silver Leaf Partners, LLCBroker
Compass Securities CorporationBroker
Foreside Fund Services, LLCBroker
Foreside Fund Services, LLCBroker
Mutual Trust CO. of America SecuritiesBroker
Asb Securities, LLCBroker
Van Kampen Advisors INC
Van Kampen Funds INC.Broker
Invesco
Invesco Distributors, INC.Broker
Aetna Investment Services, INC.Broker
Gt Global, INC.Broker
State Registrations32 states
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.