Maxwell Phillips has been Partner of Channel Wealth since September 2022, is a control person of the firm and directly owns between 10% and 25% of it.
Channel Wealth, LLC is a Santa Barbara, CA firm with $851M under management, 2,019 clients and 8 advisers across 2 offices, as of its April 2026 filing.
Maxwell Phillips’ longest registration was 10 years at Sagepoint Financial, Inc. (2012–2022). Before joining Channel Wealth in 2022, Maxwell Phillips was registered through Sagepoint Financial, Inc.
- Channel Wealth, LLCCurrent– present · 3 yearsSanta Barbara, CA · Adviser representative · Firm CRD 323461
- Sagepoint Financial, Inc.– · 10 yearsSanta Barbara, CA · Adviser representative · Firm CRD 133763
Investment adviser representative registrations
Maxwell Phillips is registered as an investment adviser representative in California, since October 2022.
- CaliforniaSince 28 October 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 30 June 2012 |
| Series 7 | General Securities Representative Examination | 25 May 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 February 2008 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 16 November 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Maxwell Joel Phillips
- CRD
- 4953387
- Firm
- Channel Wealth · CRD 323461
- Role
- Partner
- Office
- 3760 STATE STREET, SUITE 201, Santa Barbara, CA 93105
- Registration
- Investment adviser registration
- In the industry since
- August 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Maxwell Phillips work?
Maxwell Phillips has been Partner of Channel Wealth, LLC since September 2022, and is a control person of the firm.
Is Maxwell Phillips a financial advisor?
Yes. Maxwell Phillips has a current investment-adviser registration in California, through Channel Wealth since October 2022.
How many years of experience does Maxwell Phillips have?
Maxwell Phillips has 20 years in the financial industry, since August 2006, across 2 adviser firms.
What exams has Maxwell Phillips passed?
Maxwell Phillips has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 66. The earliest, the Series 6, was passed in November 2005. FINRA credited Maxwell Phillips with the SIE, which began in October 2018.
Where is Maxwell Phillips based?
Maxwell Phillips’ registered office is in Santa Barbara, CA.
Is Maxwell Phillips registered with FINRA?
No. Maxwell Phillips has no current broker registration.
How can I verify Maxwell Phillips’ record?
Search CRD 4953387 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Maxwell Phillips’ full registration record.
