Alan Samuel Phillips

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 04/2019 → 03/2021
  Western Southern Life
  Westlake, TX
• 04/2020 → 03/2021
  W&S Brokerage Service
  Cincinnati, OH
• 01/2019 → 04/2019
  Usps
  Dallas, TX
• 08/2018 → 01/2019
  Dunbar Armored
  Grapevine, TX
• 05/2018 → 11/2019
  Aflac
  Dallas, TX
• 10/2016 → 02/2018
  Endicott Pr
  Dallas, TX
• 03/2021 → 07/2022
  Prudential Insurance Company Of America
  Alvarado, TX
• 03/2021 → 07/2022
  Pruco Securities, Llc.
  Alvarado, TX
• 07/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Arlington, TX
• 11/2019 → 09/2020
  Allied Universal Security Services
  Westlake, TX
• 02/2018 → 05/2018
  Unemployed
  Dallas, TX
• 06/2016 → 10/2016
  Unemployed
  Addison, TX
• 10/2022 → Present
  Bank Of America, N.A.
  Arlington, TX

Exams

• S66 Uniform Combined State Law Examination
  2022-11-15
• S63 Uniform Securities Agent State Law Examination
  2020-08-05

Other Names

• Alan Samuel Phillips
• Alan Phillips