DP
Donald J. Phillips
GREATER MIDWEST FINANCIAL GROUP
Saint Paul, MN 55126
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CRD#: 1194732
DP
Professional summary
Donald James Phillips, CFP®, who also goes by Donald James Philips, is a registered financial advisor currently at GREATER MIDWEST FINANCIAL GROUP, LLC located in Saint Paul, Minnesota.
Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Donald has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Donald James Philips
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Name: Greater Midwest Financial Group LLC Investment Related: No Address: 3222 Rice Street St. Paul MN 55126 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: CEO Start Date: 1/1/1989 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Advisory, Client Relationship Manager, Management Business Name: Phillips Financial LLC Investment Related: No Address: 3222 Rice Street St. Paul MN 55126 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 1/1/2000 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Owner Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Comprehensive Benefits Investment Related: Yes Address: 3222 Rice Street St. Paul MN 55126 Nature of Business: Insurance Position, Title or Relationship: na Start Date: 1/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Send health insurance business to them. Business Name: McVDB Investment Related: No Address: 3222 Rice Street St. Paul MN 55126 Nature of Business: Real Estate Position, Title or Relationship: Partner Start Date: 8/15/2000 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Partner Business Name: GREATER MIDWEST FINANCIAL GROUP, LLC POSITION: Owner NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 10 START DATE: 11/09/2022 ADDRESS: 3222 Rice Street, St. Paul MN 55126 DESCRIPTION: I will participate in corporate governance and operations.
CRS (Client Relationship Summary) - RIA
Click below to view Donald James Phillips's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1986
Experience
Current
January 27, 2023 - Present
GREATER MIDWEST FINANCIAL GROUP, LLC
Office #1: 3222 Rice St., Saint Paul, MN 55126RIA
CRD#: 324387
Saint Paul, MN
Past
April 21, 2016 - March 31, 2023
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
St. Paul, MN
Past
May 29, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
St. Paul, MN
Past
May 29, 2015 - March 31, 2023
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
St. Paul, MN
Past
October 10, 2000 - June 4, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
ST PAUL, MN
Past
September 8, 2000 - June 4, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
ST PAUL, MN
Past
January 22, 1991 - September 19, 2000
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
September 21, 1988 - September 19, 2000
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, MN
Past
November 28, 1983 - September 21, 1988
CONSOLIDATED RESOURCES, INC.
BD
CRD#: 13747
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GM
GREATER MIDWEST FINANCIAL GROUP, LLC
GREATER MIDWEST FINANCIAL GROUP, LLC
CRD#: 324387 / SEC#: 801-127206
RIA
Registered Investment Advisory firm - (1/19/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Minnesota(1/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
GM
GREATER MIDWEST FINANCIAL GROUP, LLC
GREATER MIDWEST FINANCIAL GROUP, LLC
CRD#: 324387 / SEC#: 801-127206
RIA
Registered Investment Advisory firm - (1/19/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3222 Rice St., Saint Paul, MN 55126
Mailing Address
Phone number
(651) 490-9790
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,484 |
| AUM (Assets Under Management) | $ 511,858,382 |
Red Flags
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