PC
Philip J. Clark
CETERA INVESTMENT ADVISERS LLC
RICHMOND, VA 23219
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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.
1) PROSPERA WEALTH PARTNERS, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBA FOR FINANCIAL AND INVESTMENT CONSULTING BUSINESS, FOUNDER, OWNER, PROVIDE INSURANCE, SECURITIES, ADVISORY SERVICES, 40H/WEEK, 35H/WEEK DURING TRADING HOURS, SINCE 08/2023. 2) NAME OF OTHER BUSINESS: CLARK WEALTH PLANNING, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/2024; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 4) NAME OF OTHER BUSINESS: FLORIDA 2026, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: NON-PROFIT, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: GENERALLY OVERSIGHT AND REVIEW OF CONTRIBUTIONS AND EXPENDITURES;
CRS (Client Relationship Summary) - RIA
Click below to view Philip James Clark's 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®
Start date: 2015
CPWA®
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 23219RIA
CRD#: 105644
RICHMOND, VA
Current
October 30, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 530 East Main St Ste 320, Richmond, VA 23219BD
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)
IAR
Florida(11/5/2023)
RR
Georgia(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
Nevada(11/14/2023)
RR
New Jersey(10/30/2023)
RR
New York(10/30/2023)
RR
North Carolina(11/8/2023)
RR
Ohio(11/15/2023)
RR
Oregon(11/13/2023)
RR
Pennsylvania(10/30/2023)
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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 23219TRUST BUT VERIFY
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