Thomas Michael Phillips
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
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SOLTIS INVESTMENT ADVISORS, LLC
CAPITAL ADVISORY SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SOLTIS INVESTMENT ADVISORS, LLC
CAPITAL ADVISORY SERVICES, LLC
Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Similar Advisors
SOLTIS INVESTMENT ADVISORS, LLC
CAPITAL ADVISORY SERVICES, LLC
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.
Similar Advisors
SOLTIS INVESTMENT ADVISORS, LLC
CAPITAL ADVISORY SERVICES, LLC
Years of Experience
31 years in the financial services industry
Current & Past Employments
Similar Advisors
SOLTIS INVESTMENT ADVISORS, LLC
CAPITAL ADVISORY SERVICES, LLC
Current Firm
KIPLINGER INVESTMENT ADVISORS, LLC. | STEELE & KIPLINGER WEALTH ADVISORS | KIPLINGER WEALTH MANAGEMENT GROUP | KIPLINGER WEALTH ADVISORS
Contact Information
Main Address
24 Remick Blvd, Springboro, OH 45066-9557Phone Number
(937) 886-1442# of Employees
5SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,103AUM (Assets Under Management)
$261,664,703Similar Advisors
SOLTIS INVESTMENT ADVISORS, LLC
CAPITAL ADVISORY SERVICES, LLC
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.
Similar Advisors
SOLTIS INVESTMENT ADVISORS, LLC
CAPITAL ADVISORY SERVICES, LLC
Primary Firm SEC Registration
KIPLINGER INVESTMENT ADVISORS, LLC. | STEELE & KIPLINGER WEALTH ADVISORS | KIPLINGER WEALTH MANAGEMENT GROUP | KIPLINGER WEALTH ADVISORS
State Registrations and Notice Filings
(9/5/2025)
(8/22/2025)
(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 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
Similar Advisors
SOLTIS INVESTMENT ADVISORS, LLC
CAPITAL ADVISORY SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Phillips's CRS (Customer Relationship Summary).
Similar Advisors
SOLTIS INVESTMENT ADVISORS, LLC
CAPITAL ADVISORY SERVICES, LLC
