Richard G. Phillips

Some features on this profile are disabled

CRD#: 1668851

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard George Phillips, who also goes by Richard George Vareschi, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2004. Richard had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard George Vareschi

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 13, 2017 - February 28, 2018

WAINWRIGHT INVESTMENT COUNSEL LLC

RIA

CRD#: 108711

BOSTON, MA

Past

March 13, 2017 - February 28, 2018

WFS, LLC

CRD#: 116778

BOSTON, MA

Past

June 21, 2016 - July 22, 2016

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

New York, NY

Past

June 15, 2016 - July 22, 2016

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

Past

January 12, 2016 - June 1, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WHITE PLAINS, NY

Past

January 12, 2016 - June 1, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WHITE PLAINS, NY

Past

May 9, 2013 - January 13, 2016

INGALLS & SNYDER, LLC

CRD#: 2288

NEW YORK, NY

Past

April 2, 2013 - January 13, 2016

INGALLS & SNYDER, LLC

RIA

CRD#: 2288

NEW YORK, NY

Past

November 9, 2004 - April 1, 2013

KETTLE CREEK INVESTMENT PARTNERS, LP

RIA

CRD#: 132766

WESTPORT, CT

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".

WAINWRIGHT INVESTMENT COUNSEL LLC

CRD#: 108711 / SEC#: 801-56485

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 2/8/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/19/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/2013

General Securities Representative Examination

Current Firm

WAINWRIGHT INVESTMENT COUNSEL LLC

CRD#: 108711 / SEC#: 801-56485

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Boston Place 29th Floor, Boston, MA 02108

Mailing Address

Phone number

(617) 531-3100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAINWRIGHT INVESTMENT COUNSEL, LLC FORM ADV PART 2 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	207
AUM (Assets Under Management)	$ 5,548,153,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard G. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WFS, LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

INGALLS & SNYDER, LLC

INGALLS & SNYDER, LLC

KETTLE CREEK INVESTMENT PARTNERS, LP

Primary Firm SEC Registration

WAINWRIGHT INVESTMENT COUNSEL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2016

Series 65

Date: 10/19/2004

SIE

Date: 2/28/2018

Series 7

Date: 5/8/2013

Current Firm

WAINWRIGHT INVESTMENT COUNSEL LLC

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAINWRIGHT INVESTMENT COUNSEL LLC

TRUST BUT VERIFY

Similar Advisors