Brian Douglas Phillips

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 03/2006 → Present
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  Kenton, OH

Previous Registrations

• 2005-08-15 → 2006-04-06
  Transamerica Financial Advisors, Llc
  Bluffton, OH
  Cedar Rapids, IA
  Bluffton, OH

Other Businesses

1. 03/29/2006 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 10% - INDEPENDENT AGELNT SELLING FIXED INSURANCE: GORUP HEALTH, GROUP LIFE, AND INDIVIDUAL LIFE. 2. 03/29/2006 - FINANCIAL MATTERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-01-30