James T. Smith

PHILLIPS AND COMPANY ADVISORS LLC

PORTLAND, OR 97205

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CRD#: 1396542

Professional summary

James Todd Smith is a registered financial advisor currently at PHILLIPS AND COMPANY ADVISORS LLC located in Portland, Oregon.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. James has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 4, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

PHILLIPS & CO. SECURITIES, INC., COMPLIANCE OFFICER 9/94 - PRESENT Riverlab LLC The business is not investment related. Address: 60956 BACHELOR VIEW ROAD, BEND, OR, 97702 Nature of business: Provides administrative services to family offices. Position: Member Start date: 5/07/2018 Hours committed: 15 per month Hours during trading hours: 4 per month Duties: Support services for consulting projects

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Todd Smith'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®

None

Experience

Current

December 16, 2013 - Present

PHILLIPS AND COMPANY ADVISORS LLC

Office #1: 521 Sw 11th Avenue Suite 200, Portland, OR 97205

RIA

CRD#: 167214

PORTLAND, OR

Past

November 6, 2013 - December 31, 2013

PHILLIPS & COMPANY

RIA

CRD#: 35800

PORTLAND, OR

Past

January 26, 1999 - March 16, 2001

WILLAMETTE SECURITIES, INC.

CRD#: 32451

PORTLAND, OR

Past

January 5, 1995 - March 24, 2025

PHILLIPS & COMPANY

CRD#: 35800

PORTLAND, OR

Past

October 23, 1985 - April 14, 1992

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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".

PHILLIPS AND COMPANY ADVISORS LLC

PHILLIPS AND COMPANY | PHILLIPS AND COMPANY ADVISORS LLC

CRD#: 167214 / SEC#: 801-63879

RIA

Registered Investment Advisory firm - (10/31/2011 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

Arizona
(12/27/2018)

IAR

California
(12/27/2016)

IAR

Idaho
(12/26/2018)

IAR

Illinois
(2/21/2019)

IAR

Missouri
(1/25/2019)

IAR

Montana
(12/27/2018)

IAR

Ohio
(12/26/2018)

IAR

Oregon
(12/16/2013)

IAR

Washington
(1/3/2017)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/9/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 7/5/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/9/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 28

Date: 3/25/1997

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/1995

General Securities Principal Examination

Current Firm

PHILLIPS AND COMPANY ADVISORS LLC

PHILLIPS AND COMPANY | PHILLIPS AND COMPANY ADVISORS LLC

CRD#: 167214 / SEC#: 801-63879

RIA

Registered Investment Advisory firm - (10/31/2011 Approved)

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Contact information

Main Address

521 Sw 11th Avenue Suite 200, Portland, OR 97205

Mailing Address

Phone number

(503) 224-0858

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PHILLIPS & COMPANY ADVISORS LLC FORM ADV PART 2A - FIRM BROCHURE (4/1/2025)

PHILLIPS & COMPANY ADVISORS LLC FORM ADV PART 2A - APPENDIX-WRAP BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,525
AUM (Assets Under Management)	$ 2,276,351,775

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James T. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Todd Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHILLIPS & COMPANY

WILLAMETTE SECURITIES, INC.

PHILLIPS & COMPANY

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

PHILLIPS AND COMPANY ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/2013

Series 63

Date: 1/9/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/4/1995

Series 14

Date: 1/2/2023

Series 53

Date: 7/5/2000

Series 4

Date: 6/9/1998

Series 28

Date: 3/25/1997

Series 24

Date: 2/16/1995

Current Firm

PHILLIPS AND COMPANY ADVISORS LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PHILLIPS AND COMPANY ADVISORS LLC

TRUST BUT VERIFY

Contact information

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