Thomas M. Phillips

KIPLINGER WEALTH ADVISORS

SPRINGBORO, OH 45066-9557

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CRD#: 2650010

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 4, Series 53 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) 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael 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

August 22, 2025 - Present

KIPLINGER WEALTH ADVISORS

Office #1: 24 Remick Blvd, Springboro, OH 45066-9557

RIA

CRD#: 116726

SPRINGBORO, OH

Current

September 5, 2025 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 24 Remick Blvd, Springboro, OH 45066

RIA

CRD#: 120222

Springboro, OH

Past

May 10, 2021 - August 22, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

MIDDLETOWN, OH

Past

May 7, 2021 - August 22, 2025

LPL FINANCIAL LLC

CRD#: 6413

MIDDLETOWN, OH

Past

November 12, 2020 - May 10, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

FRANKLIN, OH

Past

May 30, 2008 - May 10, 2021

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

FRANKLIN, OH

Past

January 3, 2007 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

FRANKLIN, OH

Past

June 20, 2005 - January 3, 2007

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

FRANKLIN, OH

Past

June 15, 2005 - May 30, 2008

FFP SECURITIES, INC.

CRD#: 16337

FRANKLIN, OH

Past

January 2, 2002 - December 31, 2004

SICOR SECURITIES INC

RIA

CRD#: 16195

SPRINGBORO, OH

Past

March 22, 2001 - December 31, 2004

SICOR SECURITIES INC

CRD#: 16195

DAYTON, OH

Past

October 18, 2000 - March 29, 2001

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

October 14, 1998 - September 25, 2000

A. CH. SECURITIES, INC.

CRD#: 44630

DAYTON, OH

Past

February 12, 1997 - July 1, 1998

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

September 27, 1995 - April 10, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

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 - (1/2/2024 Approved)

Ohio

Registered Investment Advisory firm - (3/26/2024 Terminated)

Texas

Registered Investment Advisory firm - (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.

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

Florida
(9/5/2025)

Indiana
(9/5/2025)

IAR

Ohio
(8/22/2025)

Ohio
(9/10/2025)

Washington
(9/5/2025)

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

State Security Law Exam

IAR

Series 66

Date: 7/16/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/24/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative 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 31

Date: 10/25/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/26/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 12/11/2002

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/3/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/4/1999

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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 - (1/2/2024 Approved)

Ohio

Registered Investment Advisory firm - (3/26/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/22/2024 Terminated)

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Contact information

Main Address

24 Remick Blvd, Springboro, OH 45066-9557

Mailing Address

Phone number

(937) 886-1442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KIPLINGER WEALTH ADVISORS - APPENDIX 1 (4/30/2025)

KIPLINGER WEALTH ADVISORS - PART 2A (4/30/2025)

Regulatory assets under management

Total Number of Accounts	909
AUM (Assets Under Management)	$ 212,845,865

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas M. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

SICOR SECURITIES INC

SICOR SECURITIES INC

WESTMINSTER FINANCIAL SECURITIES, INC.

A. CH. SECURITIES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

KIPLINGER WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/16/2013

Series 65

Date: 10/24/1995

Series 63

Date: 10/24/1995

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 10/25/1995

Series 7

Date: 9/26/1995

Series 27

Date: 12/11/2002

Series 4

Date: 5/3/1999

Series 53

Date: 3/4/1999

Series 24

Date: 5/15/1997

FINRA

Current Firm

KIPLINGER WEALTH ADVISORS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KIPLINGER WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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