James Michael Phillips
Professional Summary
James Michael Phillips, who also goes by Mike Phillips, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1969 - 2024. James had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22, Series 1, Series 24 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Phillips
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
ATLAS INVESTMENT MANAGEMENT | ZIZZO WEALTH PLANNING LLC | TRINITY ADVISOR GROUP | SB WEALTH | RETIREMENT SOLUTIONS | INTEGRITY WEALTH MANAGEMENT | IGNITE PLANNERS LLC | COOLEY & LABAS FINANCIAL | CAMDEN ADVISORS, LLC
Contact Information
Main Address
109 E. Escalones, San Clemente, CA 92672Phone Number
(619) 504-1907# of Employees
38SEC notice filing (25 States and Territories)
Registered to provide investment advisory services in 25 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
4,614AUM (Assets Under Management)
$1,136,946,561Similar Advisors
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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.
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Primary Firm SEC Registration
ATLAS INVESTMENT MANAGEMENT | ZIZZO WEALTH PLANNING LLC | TRINITY ADVISOR GROUP | SB WEALTH | RETIREMENT SOLUTIONS | INTEGRITY WEALTH MANAGEMENT | IGNITE PLANNERS LLC | COOLEY & LABAS FINANCIAL | CAMDEN ADVISORS, LLC
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1990About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Aug 1985About the Series 22 examSeries 1 — Registered Representative Examination
Passed Aug 1969Series 39 — Direct Participation Programs Principal Examination
Passed Aug 1985About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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