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Detailed Report
MAXWELL JOEL PHILLIPS
MAX PHILLIPS
CRD#: 4953387
IA
Investment Adviser
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Previous Broker
CHANNEL WEALTH, LLCCRD#: 323461 3700 STATE STREET
SUITE 240
SANTA BARBARA, CA 93105
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2012 - 2022 (10 years)IACHANNEL WEALTH, LLC (CRD# 323461)2022 - Present (2 years)BSECURITIES AMERICA, INC. (CRD# 10205)2009 - 2012 (3 years)BBRECEK & YOUNG ADVISORS, INC. (CRD# 40395)2008 - 2009 (<1 year)BBRECEK & YOUNG ADVISORS, INC. (CRD# 40395)2005 - 2007 (1 year)
Disclosure(s)
View By:
4/25/2001
Criminal
Final Disposition
License(s)

State Registrations

IA
California 10/28/2022
Current Registration(s)
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CHANNEL WEALTH, LLC (CRD#:323461)
3700 STATE STREET SUITE 240, SANTA BARBARA, CA 93105
Registered with this firm since 10/28/2022
Previous Registration(s)
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 07/06/2012 - 11/01/2022 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SANTA BARBARA, CA
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 01/18/2012 - 11/01/2022 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SANTA BARBARA, CA
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 01/23/2009 - 01/18/2012 SECURITIES AMERICA, INC. (CRD#:10205) SANTA BARBARA, CA
B
 02/07/2008 - 01/23/2009 BRECEK & YOUNG ADVISORS, INC. (CRD#:40395) SANTA BARBARA, CA
B
 11/18/2005 - 04/30/2007 BRECEK & YOUNG ADVISORS, INC. (CRD#:40395) SANTA BARBARA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.