Phillip D Argue

Employer firm

Seia CRD 108163

$22.5B regulatory AUM 114 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• 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

• 12/2011 → 04/2017
  Morgan Stanley Smith Barney
  Los Angeles, CA
• 04/2017 → 09/2020
  Prepared Capital
  Los Angeles, CA
• 05/2017 → 09/2020
  Prepared Capital
  Los Angeles, CA
• 09/2020 → 05/2022
  Steel Peak Wealth Management
  Woodland Hills, CA
• 11/2022 → Present
  Seia Llc
  Los Angeles, CA
• 11/2022 → 08/2023
  Royal Alliance Associates, Inc.
  Los Angeles, CA
• 05/2022 → 11/2022
  Unemployed
  Los Angeles, CA
• 08/2023 → Present
  Ses Llc
  Los Angeles, CA

Previous Registrations

• 2020-10-14 → 2022-06-10
  Steelpeak Wealth, Llc
  Los Angeles, CA
• 2017-06-06 → 2020-12-01
  Prepared Capital
  Los Angeles, CA
• 2009-06-01 → 2017-04-24
  Morgan Stanley
  Los Angeles, CA
  Los Angeles, CA
  Beverly Hills, CA
  Los Angeles, CA
  Los Angeles, CA
  Rolling Hills Estates, CA
  Brea, CA
• 2008-05-06 → 2009-06-01
  Citigroup Global Markets Inc.
  Los Angeles, CA

Other Businesses

SEIA LLC POSITION: Director of Investment Strategy, NATURE: RIA, INVESTMENT RELATED: Yes, NUMBER OF HOURS: 160, SECURITIES TRADING HOURS: 120, START DATE: 11/7/2022 ADDRESS: 2121 Avenue of the Stars, Suite 1600, Los Angeles CA 90067, United States DESCRIPTION: RIA sales & service

Exams

• S66 Uniform Combined State Law Examination
  2008-04-28

Other Names

• Phillip D Argue
• Phillip David Argue
• Phillip Argue