James Phillips
James Phillips is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Holladay, UT, with 37 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
6440 S Wasatch Boulevard, Suite 340, Holladay, UT, 84121
Get directionsHistory
Regulatory History (3)
Customer Dispute
August 2002Customer Dispute
August 2002Customer Dispute
April 2001Other Business Activities
James's wife owns and operates TKP Investment Properties, a rental real estate business, and he assists in emergencies. He spends minimal time on this investment-related activity.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
Raymond James Financial Services Advisors, INC
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
U.S. Bancorp Piper Jaffray INC.
U.S. Bancorp Piper Jaffray INC.Broker
U.S. Bancorp Investments, INC.Broker
U.S. Bancorp SecuritiesBroker
Invest Financial CorporationBroker
Aegon USA Securities INC.Broker
American Express Financial Advisors INC.Broker
Richards InvestmentsBroker
State Registrations46 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.