James Phillips is a CFP-designated registered investment advisor, based in Wheaton, IL, with 12 years of industry experience.
Location
120 E. Liberty Drive, Suite 400, Wheaton, IL, 60187
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
First Trust Advisors LP
July 2023 - Present · 3 yrs 2 mos
First Trust Portfolios L.P.Broker
July 2023 - Present · 3 yrs 2 mos
First Trust Portfolios L.P.
July 2023 - Present · 3 yrs 2 mos
Previous Registrations
Guggenheim Funds Distributors, LLCBroker
July 2016 - August 2023 · 7 yrs 1 mo
Guggenheim Investments
July 2016 - August 2023 · 7 yrs 1 mo
Kovitz Investment Group Partners, LLC
January 2016 - June 2016 · 5 mos
Kovitz Investment Group, LLC
February 2015 - December 2015 · 10 mos
Kovitz Securities, LLCBroker
October 2014 - June 2016 · 1 yr 8 mos
Wsp Commodity Trading LLCBroker
July 2013 - July 2014 · 1 yr
State Registrations3 states
FLILPR
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.