Phillip W. Holstrom

RETIREMENT PLAN ADVISORS

Lebanon, OH

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CRD#: 1220999

Professional summary

Phillip William Holstrom, who also goes by Phillip W Holstrom, is a registered financial advisor currently at RETIREMENT PLAN ADVISORS, LLC located in Lebanon, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Lebanon, Ohio.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Phillip has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phillip W Holstrom

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.

1. ST. JAMES EPISCOPAL CHURCH, 3207 Montana Ave., Cincinnati OH 45211, United States, 02/01/2021, Church council member, Volunteer, NIR, 4 HR/MO - 0 HR/MO TRADING 2. RETIREMENT PLAN ADVISORS, LLC, 7547 Fairwayglen Dr., Cincinnati OH 45248, United States, 06/17/2022, IAR, Investment Advisor Representative that manages client assets or prepares financial plans for a fee., INV REL, 5 HR/MO - 5 HR/MO TRADING 3. VARIOUS INSURANCE COMPANIES, 4269 Waters Edge Dr., Lebanon OH 45036, 05/2025, Agent, 1099, NIR, 2 HR/MO, 2 HR/MO TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip William Holstrom's CRS (Customer Relationship Summary).

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®

CRD#: 10358

CINCINNATI, OH

Past

April 10, 2002 - April 4, 2011

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

CINCINATI, OH

Past

August 21, 2000 - April 24, 2002

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

January 24, 2000 - September 1, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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".

RETIREMENT PLAN ADVISORS, LLC

CRD#: 122758 / SEC#: 801-63261

RIA

Registered Investment Advisory firm - (7/14/2004 Approved)

Arizona

Registered Investment Advisory firm - (8/2/2004 Terminated)

Colorado

Registered Investment Advisory firm - (10/13/2006 Terminated)

Iowa

Registered Investment Advisory firm - (8/2/2004 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2005 Terminated)

Missouri

Registered Investment Advisory firm - (8/2/2004 Terminated)

Nevada

Registered Investment Advisory firm - (8/2/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2004 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/11/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Indiana
(5/31/2022)

Kentucky
(5/31/2022)

Ohio
(5/31/2022)

IAR

Ohio
(6/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/27/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/22/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RETIREMENT PLAN ADVISORS, LLC

CRD#: 122758 / SEC#: 801-63261

RIA

Registered Investment Advisory firm - (7/14/2004 Approved)

Arizona

Registered Investment Advisory firm - (8/2/2004 Terminated)

Colorado

Registered Investment Advisory firm - (10/13/2006 Terminated)

Iowa

Registered Investment Advisory firm - (8/2/2004 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2005 Terminated)

Missouri

Registered Investment Advisory firm - (8/2/2004 Terminated)

Nevada

Registered Investment Advisory firm - (8/2/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2004 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/11/2003 Terminated)

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Contact information

Main Address

29 E. Madison St. Suite 500, Chicago, IL 60602-3205

Mailing Address

Phone number

(312) 701-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT PLAN ADVISORS, LLC CLIENT BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	8,148
AUM (Assets Under Management)	$ 1,882,191,054

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Phillip W. Holstrom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip William Holstrom's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

ALLSTATE FINANCIAL SERVICES, LLC

THE INVESTMENT CENTER, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

RETIREMENT PLAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2001

Series 63

Date: 1/29/2000

SIE

Date: 10/1/2018

Series 6

Date: 1/22/2000

FINRA

Current Firm

RETIREMENT PLAN ADVISORS, LLC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLAN ADVISORS, LLC

TRUST BUT VERIFY

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