AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
PC

Philip J. Clark

CETERA INVESTMENT ADVISERS
RICHMOND, VA 23219
Some features on this profile are disabled
CRD#: 4214539
PC

Professional summary

Philip James Clark, CFP®, CPWA®, who also goes by Philip Sames Clark, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Richmond, Virginia and CETERA FINANCIAL SPECIALISTS LLC located in Richmond, Virginia.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Philip has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Philip Sames Clark

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 Philip James Clark'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®
CFP®

Certified Financial Planner

Start date: 2015

CPWA®

Certified Private Wealth Advisor

Start date: 2021-01-11

Expire date: 2024-12-31

Experience

Current

October 30, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 530 East Main St Ste 320, Richmond, VA 23219
RIA
CRD#: 105644
RICHMOND, VA
Current

October 30, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 530 East Main St Ste 320, Richmond, VA 23219
BD
CRD#: 10358
RICHMOND, VA
Past

October 25, 2019 - November 3, 2023

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Pasadena, CA
Past

October 25, 2019 - November 3, 2023

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
WOODLAND HILLS, CA
Past

April 4, 2018 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
PASADENA, CA
Past

April 4, 2018 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
PASADENA, CA
Past

January 12, 2018 - April 5, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
ST. PETERSBURG, FL
Past

January 14, 2014 - December 22, 2017

SPC FINANCIAL INC

RIA
CRD#: 104618
ROCKVILLE, MD
Past

January 14, 2014 - April 5, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST PETERSBURG, FL
Past

September 10, 2009 - January 14, 2014

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST. PETERSBURG, FL
Past

July 20, 2009 - January 14, 2014

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

May 19, 2008 - May 1, 2009

CARILLON FUND DISTRIBUTORS, INC.

BD
CRD#: 139749
ST. PETERSBURG, FL
Past

August 16, 2006 - April 29, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LARGO, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(11/8/2023)
RR
California
(10/30/2023)
RR
Connecticut
(10/30/2023)
RR
Florida
(10/30/2023)
RR
Idaho
(11/25/2024)
RR
Indiana
(10/30/2023)
RR
Maryland
(10/30/2023)
RR
Massachusetts
(11/14/2023)
RR
Michigan
(10/30/2023)
RR
New Jersey
(10/30/2023)
RR
New York
(10/30/2023)
RR
North Carolina
(1/29/2026)
RR
Oregon
(11/13/2023)
RR
Texas
(10/30/2023)
IAR
Texas
(10/30/2023)
RR
Virginia
(11/8/2023)
IAR
Virginia
(1/7/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/1/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/22/2006
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: 9/26/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/15/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Richmond, VA 23219

TRUST BUT VERIFY

Monitor Philip Clark

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Isaiah Simeon-james Symeonides
Isaiah SymeonidesAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
Richmond, VA
JM
Joseph McveyAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
PR
WEEHAWKEN, NJ
Karen Anne Jones
Karen JonesAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Richmond, VA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.