Sean Anthony Phillips

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → 11/2016
  Wells Fargo Advisors, Llc
  Walnut Creek, CA
• 12/2013 → Present
  Emerald Coast Home Cleaning Service, Llc Dba You'VE Got Maids
  Pensacola, FL
• 11/2016 → 11/2018
  Wells Fargo Clearing Services, Llc
  Walnut Creek, CA
• 11/2018 → 03/2021
  Rbc Capital Markets, Llc.
  Walnut Creek, CA
• 03/2021 → Present
  Raymond James & Associates, Inc.
  Mobile, AL

Previous Registrations

• 2018-11-19 → 2021-03-17
  Rbc Capital Markets, Llc
  Walnut Creek, CA
• 2015-02-02 → 2018-11-27
  Wells Fargo Clearing Services, Llc
  Sacramento, CA
  Walnut Creek, CA
  San Leandro, CA
  Walnut Creek, CA
  Roseville, CA
• 2001-12-31 → 2013-09-11
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Denver, CO
  Pensacola, FL
  Gainesville, GA
  Mobile, AL
  Fairhope, AL

Exams

• S66 Uniform Combined State Law Examination
  2001-03-23

Designations

• Certified Financial Planner