James R. Phillips
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.
James Richard Phillips was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2013 - January 15, 2015
OBERLIN WEALTH PARTNERS, LLC
October 30, 2008 - December 31, 2008
AXIOM ADVANTAGE, LLC
May 8, 2007 - June 14, 2010
CAPFI PARTNERS LLC
March 8, 2006 - December 31, 2006
WAVELAND CAPITAL PARTNERS LLC
March 8, 2006 - December 31, 2006
WAVELAND CAPITAL PARTNERS LLC
October 29, 2002 - December 14, 2005
NRP FINANCIAL, INC.
October 29, 2002 - December 14, 2005
NRP FINANCIAL, INC.
May 15, 2002 - October 14, 2002
MYCFO SECURITIES, LLC
November 15, 1999 - March 22, 2002
DEAM INVESTOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OBERLIN WEALTH PARTNERS, LLC
CRD#: 164912 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 56 |
| AUM (Assets Under Management) | $ 28,264,399 |
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.
