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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

MARK PHILLIPS

Advisor at WELLS FARGO ADVISORS

COLUMBIA, MD | ALEXANDRIA, VA | ST. LOUIS, MO

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Search this name across graphsid dfx:ria:836b3e60-db36-be6f-fb70-19709a001c69

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 26, 2008 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 19, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 2
Exams: S63|S66
First exam: Dec 19, 2005
First registration: Feb 26, 2008
Dual registered: yes, broker-dealer
Other names: MARK STEVEN PHILLIPS
IAPD individual key: 2998088

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	May 12, 2026	n/a	yes	ST. LOUIS, MO\|COLUMBIA, MD	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jun 21, 2022	n/a	yes	ALEXANDRIA, VA\|COLUMBIA, MD	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 12, 2016	May 21, 2022	no	HUNT VALLEY, MD\|COLUMBIA, MD\|ANNAPOLIS, MD	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Apr 8, 2016	no	BALTIMORE, MD\|WASHINGTON, DC\|Baltimore, MD\|ANNAPOLIS, MD	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 26, 2008	Jun 1, 2009	no	WASHINGTON, DC\|COLUMBIA, MD\|NEW YORK, NY\|COLUMBIA, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	May 21, 2022	Jun 21, 2022	31	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 8, 2016	Apr 12, 2016	4	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
May 12, 2026 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jun 21, 2022 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 12, 2016 to May 21, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Apr 8, 2016factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 26, 2008 to Jun 1, 2009factForm ADV

Dated events

Occurred
May 21, 2022
Advisor changed firm
Mark Phillips left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2022-06-21)
Form ADVobserved 6 days ago