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Phillip Ristau

RISTAU CAPITAL
Frisco, TX
Some features on this profile are disabled
CRD#: 4234087
PR

Professional summary

Phillip Ristau, who also goes by Phillip Ryan Ristau, is a registered financial advisor currently at RISTAU CAPITAL, LLC located in Frisco, Texas.

Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Phillip has worked at 13 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Phillip Ryan Ristau

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.
USPS; not investment-related; 941 N. Coleman, Prosper, Texas, mail distribution; Rural Carrier Associate; 10/10/2023 - present; 20 to 40 hours per week - all during trading hours; deliver mail

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Ristau'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®
None

Experience

Current

June 25, 2020 - Present

RISTAU CAPITAL, LLC

RIA
CRD#: 309325
Frisco, TX
Past

June 8, 2017 - May 26, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PLANO, TX
Past

June 8, 2017 - May 26, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PLANO, TX
Past

April 26, 2016 - April 27, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
SAN ANTONIO, TX
Past

April 26, 2016 - April 27, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
SAN ANTONIO, TX
Past

January 18, 2012 - April 20, 2016

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
WESTLAKE, TX
Past

January 13, 2012 - April 12, 2016

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTLAKE, TX
Past

January 7, 2009 - November 7, 2011

TD AMERITRADE, INC.

RIA
CRD#: 7870
FORT WORTH, TX
Past

January 7, 2009 - November 7, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
FT WORTH, TX
Past

January 7, 2009 - November 7, 2011

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX
Past

July 16, 2008 - December 16, 2008

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
ARLINGTON, TX
Past

July 16, 2008 - December 16, 2008

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
ARLINGTON, TX
Past

March 12, 2008 - June 2, 2008

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
SAN ANTONIO, TX
Past

January 28, 2008 - June 2, 2008

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

October 14, 2004 - January 17, 2008

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
COPPELL, TX
Past

July 30, 2003 - August 18, 2004

G.RESEARCH, LLC

BD
CRD#: 7353
RYE, NY
Past

July 22, 2002 - April 1, 2003

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

November 21, 2000 - July 8, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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.

Highlighted states indicate IAR registrations

IAR
Texas
(6/25/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/3/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/27/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/15/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/2000
General Securities Representative Examination

Current Firm

RC
RISTAU CAPITAL, LLC
RISTAU CAPITAL, LLC

CRD#: 309325 / SEC#:

Texas
Registered Investment Advisory firm - (6/25/2020 Approved)
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Contact information

Main Address
Frisco, TX
Mailing Address
Phone number
(214) 846-4532
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts15
AUM (Assets Under Management)$ 6,246,355

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

RISTAU CAPITAL, LLC

CRD#: 309325Frisco, TX

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