John C. Phillips

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CRD#: 2894099

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Charles Phillips, who also goes by John C Phillips, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1997. John had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John C 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.

FAMILY FINANCIAL EDUCATION FOUNDATION, FINANCIAL COUNSELING, DEBT CONSOLIDATION, MEMBER OF THE BOARD OF DIRECTORS, START DATE 1/98, DUTIES: HELP SET POLICIES FOR THE ORGANIZATION. TRUSTEE FOR SISTER'S TRUST; INV. RELATED; SAN MARINO, CA; START DATE 5/2019; 0 HRS PER MONTH. TRUSTEE FOR BROTHER-IN-LAW; INV. RELATED; SAN MARINO, CA; START DATE 5/16/2019; 0 HRS PER MONTH; DUTIES MAKE PREMIUM PAYMENTS ON LIFE INSURANCE POLICY.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 10, 2023 - January 17, 2025

THREE SEASONS WEALTH

RIA

CRD#: 326517

SALT LAKE CITY, UT

Past

September 16, 2013 - July 19, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SALT LAKE CITY, UT

Past

September 16, 2013 - July 19, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALT LAKE CITY, UT

Past

September 15, 2006 - September 25, 2013

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SALT LAKE CITY, UT

Past

September 14, 2006 - September 25, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SALT LAKE CITY, UT

Past

March 30, 1999 - September 28, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SALT LAKE CITY, UT

Past

July 8, 1997 - September 28, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SALT LAKE CITY, UT

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".

THREE SEASONS WEALTH

CRD#: 326517 / SEC#: 801-127982

RIA

Registered Investment Advisory firm - (5/12/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/6/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/23/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/7/1997

General Securities Representative Examination

Current Firm

THREE SEASONS WEALTH

CRD#: 326517 / SEC#: 801-127982

RIA

Registered Investment Advisory firm - (5/12/2023 Approved)

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Contact information

Main Address

111 East Broadway Ste 1250, Salt Lake City, UT 84111

Mailing Address

Phone number

(801) 662-0585

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THREE SEASONS WEALTH FORM ADV PART 2A (8/5/2025)

THREE SEASONS WEALTH FORM ADV WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	770
AUM (Assets Under Management)	$ 361,708,421

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

xxxxx@xxxx.xxx

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Firm Stability Insights

John C. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

THREE SEASONS WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/1997

Series 63

Date: 8/6/1997

SIE

Date: 10/1/2018

Series 31

Date: 3/23/1999

Series 7

Date: 7/7/1997

Current Firm

THREE SEASONS WEALTH

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THREE SEASONS WEALTH

TRUST BUT VERIFY

Contact information

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