Kathy Phillips is a registered investment advisor at PNC Wealth Management, based in Carrollton, TX, with 10 years of industry experience. Kathy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Annuities. Their firm serves 157,536 clients with $27B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.00% |
| $250K - $500K | 1.75% |
| $500K - $1.0M | 1.50% |
| $1.0M - $2.0M | 1.25% |
| $2.0M - $4.0M | 1.00% |
| $4M+ | 1.00% |
Fees negotiable for accounts over $4,000,000. From time-to-time, we offer discounted pricing programs at our discretion. For example, current employees of PNCWM and their immediate family members are eligible for employee pricing.
Fee Estimator
Location
3040 East Trinity Mills Road, Carrollton, TX, 75006
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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.
Learn about disclosures →Other Business Activities
Kathy is a notary public since 2011. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
PNC Wealth Management
PNC Wealth Management LLCBroker
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
PNC InvestmentsBroker
Bbva Securities INC.Broker
Farmers Financial Solutions, LLCBroker
J.P. Morgan Securities LLCBroker
Bbva Securities INC.Broker
Colonial Brokerage, INC.Broker
State Registrations3 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.