Aaron K. Phillips

INFINITY FINANCIAL SERVICES ADVISORY

San Francisco, CA 94110

Some features on this profile are disabled

CRD#: 1779418

Professional summary

Aaron Kurt Phillips is a registered financial advisor currently at INFINITY FINANCIAL SERVICES ADVISORY located in San Francisco, California and INFINITY FINANCIAL SERVICES located in San Francisco, California.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Aaron has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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.

1. Steven J Axelrod dba Tax Office SF, Not investment related, 513 Valencia Street #4 San Francisco, CA 94110, Tax preparation associate, January 2015, 120 hours per month, 25 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Kurt Phillips'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

April 1, 2020 - Present

INFINITY FINANCIAL SERVICES ADVISORY

Office #1: 513 Valencia St. Suite 3, San Francisco, CA 94110

RIA

CRD#: 304981

San Francisco, CA

Current

August 16, 2016 - Present

INFINITY FINANCIAL SERVICES

Office #1: 513 Valencia Street Suite 3, San Francisco, CA 94110

CRD#: 144302

San Francisco, CA

Past

August 15, 2016 - October 29, 2020

INFINITY FINANCIAL SERVICES

RIA

CRD#: 144302

OAKLAND, CA

Past

May 20, 2013 - September 28, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

San Francisco, CA

Past

April 27, 2010 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SAN RAMON, CA

Past

June 13, 2005 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN RAMON, CA

Past

January 31, 1996 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

June 21, 1994 - February 17, 1995

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 5, 1993 - October 6, 1994

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 25, 1991 - December 31, 1991

WORLD INVEST CORPORATION

CRD#: 17223

DEERFIELD BEACH, FL

Past

January 19, 1988 - February 1, 1989

POWER SECURITIES CORPORATION

CRD#: 15527

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".

INFINITY FINANCIAL SERVICES ADVISORY

CRD#: 304981 / SEC#: 801-117719

RIA

Registered Investment Advisory firm - (12/5/2019 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.

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

California
(8/16/2016)

IAR

California
(4/1/2020)

IAR

Florida
(8/3/2020)

Idaho
(2/12/2025)

Washington
(5/24/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/20/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INFINITY FINANCIAL SERVICES ADVISORY

CRD#: 304981 / SEC#: 801-117719

RIA

Registered Investment Advisory firm - (12/5/2019 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

212 9th Street Suite 202, Oakland, CA 94607

Mailing Address

Phone number

(510) 588-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

ADV 2A APPENDIX WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	918
AUM (Assets Under Management)	$ 150,097,662

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

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Aaron K. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Kurt Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

INFINITY FINANCIAL SERVICES

INFINITY FINANCIAL SERVICES

FOOTHILL SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

WORLD INVEST CORPORATION

POWER SECURITIES CORPORATION

Primary Firm SEC Registration

INFINITY FINANCIAL SERVICES ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/1996

Series 63

Date: 3/2/1988

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1988

Series 24

Date: 8/30/1988

FINRA

Current Firm

INFINITY FINANCIAL SERVICES ADVISORY

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INFINITY FINANCIAL SERVICES ADVISORY

TRUST BUT VERIFY

Similar Advisors