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Thomas Michael Phillips

KIPLINGER WEALTH ADVISORS
SPRINGBORO, OH
·CRD# 2650010·31 years experience

Professional Summary

Thomas Michael Phillips is a registered financial advisor currently at KIPLINGER WEALTH ADVISORS located in Springboro, Ohio and PRIVATE CLIENT SERVICES, LLC located in Springboro, Ohio. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 27, Series...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Contact Information

Direct

(xxx) xxx-xxxx

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

31 years in the financial services industry

Current & Past Employments

KIPLINGER WEALTH ADVISORS·CRD# 116726
RIA
24 Remick Blvd, Springboro, OH 45066-9557
August 22, 2025 - Present
PRIVATE CLIENT SERVICES, LLC·CRD# 120222
RIA
BD
24 Remick Blvd, Springboro, OH 45066
September 5, 2025 - Present
LPL FINANCIAL LLC·CRD# 6413
RIA
Middletown, OH
May 10, 2021 - August 22, 2025
LPL FINANCIAL LLC·CRD# 6413
BD
Middletown, OH
May 7, 2021 - August 22, 2025
CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
Franklin, OH
November 12, 2020 - May 10, 2021
FIRST ALLIED SECURITIES, INC.·CRD# 32444
BD
Franklin, OH
May 30, 2008 - May 10, 2021
FIRST ALLIED ADVISORY SERVICES, INC.·CRD# 137888
RIA
Franklin, OH
January 3, 2007 - November 12, 2020
FFP ADVISORY SERVICES INC·CRD# 110778
RIA
Franklin, OH
June 20, 2005 - January 3, 2007
FFP SECURITIES, INC.·CRD# 16337
BD
Franklin, OH
June 15, 2005 - May 30, 2008
SICOR SECURITIES INC·CRD# 16195
RIA
Springboro, OH
January 2, 2002 - December 31, 2004
SICOR SECURITIES INC·CRD# 16195
BD
Dayton, OH
March 22, 2001 - December 31, 2004
WESTMINSTER FINANCIAL SECURITIES, INC.·CRD# 20677
BD
Beavercreek, OH
October 18, 2000 - March 29, 2001
A. CH. SECURITIES, INC.·CRD# 44630
BD
Dayton, OH
October 14, 1998 - September 25, 2000
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.·CRD# 2864
BD
Bryan, OH
February 12, 1997 - July 1, 1998
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
September 27, 1995 - April 10, 1996

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Current Firm

KW
KIPLINGER WEALTH ADVISORS

KIPLINGER INVESTMENT ADVISORS, LLC. | STEELE & KIPLINGER WEALTH ADVISORS | KIPLINGER WEALTH MANAGEMENT GROUP | KIPLINGER WEALTH ADVISORS

CRD#: 116726 / SEC#: 801-129277
RIA
Registered Investment Advisory firm - SEC (1/2/2024 Approved)
Ohio
Registered Investment Advisory firm - Ohio (3/26/2024 Terminated)
Texas
Registered Investment Advisory firm - Texas (3/22/2024 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).

Contact Information

Main Address

24 Remick Blvd, Springboro, OH 45066-9557

Phone Number

(937) 886-1442

# of Employees

5

SEC notice filing (9 States and Territories)

Registered to provide investment advisory services in 9 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KIPLINGER WEALTH ADVISORS - APPENDIX 1 (3/27/2026)

Regulatory Assets Under Management

Total Number of Accounts

1,103

AUM (Assets Under Management)

$261,664,703

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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) Uber Driver. 165 Village Dr, Springboro, OH 45066. Ride Share. Ride Share Driver. 30 hrs/mo; 10 during trading hrs. Not investment related. 2) Kiplinger Wealth Advisors. 24 Remick Blvd, Springboro, OH 45066. RIA. 30 hrs/mo; 30 during trading hrs. Not investment related.

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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".
KW
KIPLINGER WEALTH ADVISORS

KIPLINGER INVESTMENT ADVISORS, LLC. | STEELE & KIPLINGER WEALTH ADVISORS | KIPLINGER WEALTH MANAGEMENT GROUP | KIPLINGER WEALTH ADVISORS

CRD#: 116726 / SEC#: 801-129277
RIA
Registered Investment Advisory firm - SEC (1/2/2024 Approved)
Ohio
Registered Investment Advisory firm - Ohio (3/26/2024 Terminated)
Texas
Registered Investment Advisory firm - Texas (3/22/2024 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(9/5/2025)
IAR
Ohio
(8/22/2025)
RR
Ohio
(9/10/2025)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2013About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 1995About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1995About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Oct 1995About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Sep 1995About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Dec 2002About the Series 27 exam

Series 4 — Registered Options Principal Examination

Passed May 1999About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Mar 1999About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed May 1997About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Phillips's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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