TP
Thomas H. Phillips
CETERA INVESTMENT ADVISERS LLC
Mclean, VA 22102
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CRD#: 2238211
TP
Professional summary
Thomas Harper Phillips, CFP®, ChFC®, CLU®, who also goes by Thomas Phillips, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mclean, Virginia and CETERA WEALTH SERVICES, LLC located in Mclean, Virginia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Phillips
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) NAME OF ENTITY: Kurtz, Connor, Browning & Phillips, LLC (KCBP, LLC); Yes; SAME AS REGISTERED LOCATION ; DBA; part owner; 9/1/2003; 200; 200; DBA for sale of securities and insurance products. 2)NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; SAME AS REGISTERED LOCATION 2; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 11/13/2008; 160; 160; SALES OF FIXED INSURANCE PRODUCTS; 3) NAME OF OTHER BUSINESS: CHANTILLY LITTLE LEAGUE, INVESTMENT RELATED: NO, ADDRESS: 14810 MURDOCK ST, CHANTILLY, VA, 20151, NATURE OF BUSINESS: YOUTH SPORTS, START DATE: 12/2021, POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RECRUIT COACHES, BUILD ROSTERS, AND PROVIDE ADVICE TO NEW COACHES;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Harper 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8200 Greensboro Drive Suite 1125, Mclean, VA 22102RIA
CRD#: 105644
Mclean, VA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8200 Greensboro Drive Suite 625, Mclean, VA 22102BD
CRD#: 13572
Mclean, VA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 10, 2003 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
VIENNA, VA
Past
December 11, 1996 - August 29, 2003
J.P. ATKINSON & ASSOCIATES, INC.
RIA
CRD#: 111187
VIENNA, VA
Past
August 12, 1994 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
VIENNA, VA
Past
June 1, 1992 - July 24, 1994
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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
RR
Arizona(6/9/2021)
RR
Arkansas(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(6/9/2021)
RR
Delaware(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Hawaii(6/9/2021)
RR
Idaho(6/9/2021)
RR
Illinois(6/9/2021)
RR
Indiana(6/9/2021)
RR
Kansas(6/9/2021)
RR
Kentucky(6/9/2021)
RR
Louisiana(6/9/2021)
RR
Maine(6/9/2021)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
RR
Michigan(6/9/2021)
RR
Mississippi(6/9/2021)
RR
Missouri(6/9/2021)
RR
Montana(6/9/2021)
RR
Nevada(6/9/2021)
RR
New Hampshire(6/9/2021)
RR
New Jersey(6/9/2021)
RR
New Mexico(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
Oregon(6/9/2021)
RR
Pennsylvania(6/9/2021)
RR
South Carolina(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Virginia(6/9/2021)
IAR
Virginia(6/29/2023)
RR
Washington(6/9/2021)
RR
West Virginia(6/9/2021)
RR
Wisconsin(6/9/2021)
RR
Wyoming(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
