James M. Phillips

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CRD#: 362616

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 Michael Phillips, who also goes by Mike Phillips, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1969. 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike 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)

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

January 11, 2018 - May 14, 2024

IGNITE PLANNERS LLC

RIA

CRD#: 289797

Melbourne, FL

Past

October 25, 2017 - December 6, 2017

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

MELBOURNE, FL

Past

October 25, 2017 - December 6, 2017

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MELBOURNE, FL

Past

December 1, 2011 - November 1, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

MELBOURNE, FL

Past

October 26, 2005 - November 30, 2011

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

MELBOURNE, FL

Past

October 24, 2005 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

MELBOURNE, FL

Past

November 26, 1991 - July 18, 2005

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

February 12, 1990 - December 2, 1991

HALL & COMPANY INCORPORATED

CRD#: 13711

Past

October 28, 1986 - November 13, 1989

GROSVENOR FINANCIAL, INC.

CRD#: 17999

Past

July 18, 1986 - November 25, 1986

VALUE EQUITIES CORPORATION

CRD#: 13316

Past

March 19, 1975 - June 12, 1977

DAVE FRIES AND ASSOCIATES

CRD#: 1917

Past

December 28, 1973 - May 25, 1975

STERLING WEST SECURITIES CORPORATION

CRD#: 6543

Past

September 6, 1973 - January 7, 1974

TERRA INBESTMENT CO INC

CRD#: 1000002

Past

November 25, 1969 - September 16, 1973

RALPH S. WILFORD COMPANY, INC. (THE)

CRD#: 701

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".

IGNITE PLANNERS LLC

CRD#: 289797 / SEC#: 801-112029

RIA

Registered Investment Advisory firm - (11/13/2017 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

Series 63

Date: 8/20/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/7/1990

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 8/20/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 1

Date: 8/21/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/23/1992

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 8/28/1985

Direct Participation Programs Principal Examination

Current Firm

IGNITE PLANNERS LLC

CRD#: 289797 / SEC#: 801-112029

RIA

Registered Investment Advisory firm - (11/13/2017 Approved)

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Contact information

Main Address

109 E. Escalones, San Clemente, CA 92672

Mailing Address

Phone number

(619) 504-1907

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/28/2025)

Regulatory assets under management

Total Number of Accounts	3,892
AUM (Assets Under Management)	$ 941,775,371

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.

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Advisor Monitoring

Firm Stability Insights

James M. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

SENTRA SECURITIES CORPORATION

HALL & COMPANY INCORPORATED

GROSVENOR FINANCIAL, INC.

VALUE EQUITIES CORPORATION

DAVE FRIES AND ASSOCIATES

STERLING WEST SECURITIES CORPORATION

TERRA INBESTMENT CO INC

RALPH S. WILFORD COMPANY, INC. (THE)

Primary Firm SEC Registration

IGNITE PLANNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/20/1985

SIE

Date: 12/6/2017

Series 7

Date: 10/9/1990

Series 6

Date: 5/7/1990

Series 22

Date: 8/20/1985

Series 1

Date: 8/21/1969

Series 24

Date: 9/23/1992

Series 39

Date: 8/28/1985

Current Firm

IGNITE PLANNERS LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IGNITE PLANNERS LLC

TRUST BUT VERIFY

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