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WP

William F. Phillips Iii

OCEAN PARK ASSET MANAGEMENT
SOUTH HAVEN, MI
Some features on this profile are disabled
CRD#: 3192254
WP

Professional summary

William Francis Phillips Iii, who also goes by Bill Phillips, Billy Phillips, is a registered financial advisor currently at OCEAN PARK ASSET MANAGEMENT, LLC located in South Haven, Michigan.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. William has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bill Phillips | Billy 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Francis Phillips Iii'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

October 30, 2024 - Present

OCEAN PARK ASSET MANAGEMENT, LLC

RIA
CRD#: 145634
SOUTH HAVEN, MI
Past

October 7, 2015 - December 23, 2024

SIERRA INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106615
Highland Park, IL
Past

September 25, 2015 - July 2, 2025

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

February 14, 2011 - September 3, 2015

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
DEERFIELD, IL
Past

September 10, 2009 - August 13, 2010

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
NEW YORK, NY
Past

December 5, 2007 - September 3, 2015

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ
Past

January 3, 2006 - December 3, 2007

THORNBURG SECURITIES LLC

BD
CRD#: 14857
SANTA FE, NM
Past

May 16, 2005 - December 8, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

November 18, 2002 - April 25, 2005

FORESIDE PLAZA DISTRIBUTORS, LLC

BD
CRD#: 103739
PORTLAND, ME
Past

June 3, 1999 - August 19, 2002

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST. PETERSBURG, FL
Past

May 26, 1999 - August 19, 2002

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

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".
OP
OCEAN PARK ASSET MANAGEMENT, LLC
OCEAN PARK ASSET MANAGEMENT, LLC | WRIGHT FUND MANAGEMENT, LLC | SIERRA MUTUAL FUNDS | OCEAN PARK MUTUAL FUNDS | OCEAN PARK ETFS

CRD#: 145634 / SEC#: 801-68554

RIA
Registered Investment Advisory firm - (11/30/2007 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.

Highlighted states indicate IAR registrations

IAR
California
(10/30/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/9/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/9/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/1999
General Securities Representative Examination

Current Firm

OP
OCEAN PARK ASSET MANAGEMENT, LLC
OCEAN PARK ASSET MANAGEMENT, LLC | WRIGHT FUND MANAGEMENT, LLC | SIERRA MUTUAL FUNDS | OCEAN PARK MUTUAL FUNDS | OCEAN PARK ETFS

CRD#: 145634 / SEC#: 801-68554

RIA
Registered Investment Advisory firm - (11/30/2007 Approved)
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Contact information

Main Address
3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405
Mailing Address
Phone number
(310) 452-1887
Established
Firm type
Fiscal year end
# of Employees
61

SEC notice filing (7 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OCEAN PARK ASSET MANAGEMENT, LLC FORM ADV PART 2A BROCHURE (3/31/2025)
OCEAN PARK ASSET MANAGEMENT, LLC JOINT ADVISORY PROGRAM WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts292
AUM (Assets Under Management)$ 4,872,145,667

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.

Company Information

OCEAN PARK ASSET MANAGEMENT, LLC

CRD#: 145634South Haven, MI

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