Michael S. Williams

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CRD#: 4451156

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.

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

Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Williams

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

July 1, 2014 - October 27, 2016

PHILLIPS AND COMPANY ADVISORS LLC

RIA

CRD#: 167214

PORTLAND, OR

Past

July 1, 2014 - October 27, 2016

PHILLIPS & COMPANY

CRD#: 35800

PORTLAND, OR

Past

October 10, 2013 - June 5, 2014

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

VANCOUVER, WA

Past

September 23, 2013 - June 5, 2014

PRINCIPAL SECURITIES, INC.

CRD#: 1137

VANCOUVER, WA

Past

June 3, 2013 - September 6, 2013

MORGAN STANLEY

RIA

CRD#: 149777

PORTLAND, OR

Past

June 3, 2013 - September 6, 2013

MORGAN STANLEY

CRD#: 149777

PORTLAND, OR

Past

February 19, 2013 - April 2, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PORTLAND, OR

Past

February 15, 2013 - April 2, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

PORTLAND, OR

Past

November 6, 2001 - April 1, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

PHILLIPS AND COMPANY ADVISORS LLC

PHILLIPS AND COMPANY | PHILLIPS AND COMPANY ADVISORS LLC

CRD#: 167214 / SEC#: 801-63879

RIA

Registered Investment Advisory firm - (10/31/2011 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: 2/22/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/21/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/18/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PHILLIPS AND COMPANY ADVISORS LLC

PHILLIPS AND COMPANY | PHILLIPS AND COMPANY ADVISORS LLC

CRD#: 167214 / SEC#: 801-63879

RIA

Registered Investment Advisory firm - (10/31/2011 Approved)

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Contact information

Main Address

521 Sw 11th Avenue Suite 200, Portland, OR 97205

Mailing Address

Phone number

(503) 224-0858

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PHILLIPS & COMPANY ADVISORS LLC FORM ADV PART 2A - FIRM BROCHURE (4/1/2025)

PHILLIPS & COMPANY ADVISORS LLC FORM ADV PART 2A - APPENDIX-WRAP BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,525
AUM (Assets Under Management)	$ 2,276,351,775

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

Michael S. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PHILLIPS & COMPANY

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

MORGAN STANLEY

MORGAN STANLEY

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

EDWARD JONES

Primary Firm SEC Registration

PHILLIPS AND COMPANY ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/2013

Series 65

Date: 12/21/2012

SIE

Date: 10/27/2016

Series 7

Date: 6/1/2013

Series 6

Date: 2/18/2013

Current Firm

PHILLIPS AND COMPANY ADVISORS LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PHILLIPS AND COMPANY ADVISORS LLC

TRUST BUT VERIFY

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