Ralph M. Phillips

RMP INVESTMENTS

Vernon, CT 06066

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CRD#: 4686281

Professional summary

Ralph Michael Phillips is a registered financial advisor currently at RMP INVESTMENTS, LLC located in Vernon, Connecticut.

Ralph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Ralph has worked at 5 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Ralph Michael Phillips'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

January 31, 2025 - Present

RMP INVESTMENTS, LLC

Office #1: 933 Hartford Turnpike, Vernon, CT 06066

RIA

CRD#: 164697

Vernon, CT

Past

March 12, 2013 - December 31, 2024

RMP INVESTMENTS, LLC

RIA

CRD#: 164697

VERNON, CT

Past

March 8, 2006 - February 5, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WEST HARTFORD, CT

Past

March 8, 2006 - February 5, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WEST HARTFORD, CT

Past

April 29, 2005 - March 8, 2006

ADVEST, INC.

RIA

CRD#: 10

FARMINGTON, CT

Past

April 29, 2005 - March 8, 2006

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

December 2, 2003 - April 21, 2005

MONY SECURITIES CORPORATION

RIA

CRD#: 4386

BERLIN, CT

Past

December 2, 2003 - April 21, 2005

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

August 29, 2003 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

RIA

CRD#: 24049

BERLIN, CT

Past

July 31, 2003 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

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

Connecticut
(1/31/2025)

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: 8/27/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/10/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 7/30/2003

General Securities Representative Examination

Current Firm

RMP INVESTMENTS, LLC

CRD#: 164697 / SEC#:

Connecticut

Registered Investment Advisory firm - (1/31/2025 Approved)

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Contact information

Main Address

933 Hartford Turnpike, Vernon, CT 06066

Mailing Address

Phone number

(860) 979-0707

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Ralph M. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Michael Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

RMP INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ADVEST, INC.

ADVEST, INC.

MONY SECURITIES CORPORATION

MONY SECURITIES CORPORATION

TRUSTED SECURITIES ADVISORS CORP.

TRUSTED SECURITIES ADVISORS CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/2003

Series 65

Date: 12/10/2001

Series 7

Date: 7/30/2003

Current Firm

RMP INVESTMENTS, LLC

Contact information

Documents

Red Flags

Company Information

RMP INVESTMENTS, LLC

TRUST BUT VERIFY

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