Ronald S. Phillips

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CRD#: 4762155

Professional summary

Ronald Scott Phillips was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ronald is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Ronald had worked at 3 firms, which includes NWF ADVISORY SERVICES INC, OSAIC WEALTH INC., A. G. EDWARDS & SONS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

R Scott Phillips

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

February 26, 2008 - April 30, 2008

NWF ADVISORY SERVICES INC

RIA

CRD#: 110410

HENDERSON, NV

Past

February 4, 2008 - April 30, 2008

OSAIC WEALTH, INC.

RIA

CRD#: 23131

HENDERSON, NV

Past

December 12, 2007 - April 30, 2008

OSAIC WEALTH, INC.

CRD#: 23131

HENDERSON, NV

Past

February 17, 2005 - February 22, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

LAS VEGAS, NV

Past

April 16, 2004 - October 25, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

LAS VEGAS, NV

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".

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 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

IAR

Series 66

Date: 6/8/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/2004

General Securities Representative Examination

Current Firm

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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Contact information

Main Address

11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064

Mailing Address

Phone number

(310) 475-5854

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,979
AUM (Assets Under Management)	$ 3,824,876,751

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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Ronald S. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NWF ADVISORY SERVICES INC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/8/2004

Series 7

Date: 4/15/2004

Current Firm

NWF ADVISORY SERVICES INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWF ADVISORY SERVICES INC

TRUST BUT VERIFY

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