WP
WP
William Phillips
17 Years of Experience
Washington, DC
1 DisclosureBrokerSells Insurance
William Phillips is a registered investment advisor, based in Washington, DC, with 17 years of industry experience.
Location
700 Pennsylvania Avenue, Ste 200, Washington, DC, 20003
Get directionsHistory
Regulatory History (1)
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.
Customer Dispute
June 2017Denied
Other Business ActivitiesSells Insurance
William is an independent insurance agent for various companies, dedicating about 10-20% of his time to this. He also provides investment advisory and financial planning services through Phillips Financial Strategies, spending full-time hours on these activities.
Employment History
Current Registrations
Purshe Kaplan Sterling Investments
February 2026 - Present · 3 mos
Purshe Kaplan Sterling InvestmentsBroker
February 2026 - Present · 3 mos
Summit Financial, LLC
December 2025 - Present · 5 mos
Phillips Financial Strategies LLC
January 2020 - Present · 6 yrs 4 mos
Previous Registrations
Phillips Financial Strategies
October 2019 - December 2019 · 2 mos
Cambridge Investment Research Advisors, INC.
October 2014 - December 2019 · 5 yrs 2 mos
Cambridge Investment Research, INC.Broker
September 2014 - December 2025 · 11 yrs 3 mos
AXA Advisors, LLC
May 2008 - October 2014 · 6 yrs 5 mos
AXA Advisors, LLCBroker
April 2008 - October 2014 · 6 yrs 6 mos
State Registrations10 states
CTDCFLLAMDNCNYTXVAVT
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.