Phillip R. Waara

ECIO

MADISON, WI 53703

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CRD#: 5794435

Professional summary

Phillip Ronald Waara, who also goes by Phillip Waara, is a registered financial advisor currently at ECIO, INC. located in Madison, Wisconsin.

Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Phillip has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phillip Waara

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. Uber Cab Service, non-investment related, independent cab driver, start date 10/8/2015, approximately 15 hours a month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Ronald Waara's CRS (Customer Relationship Summary).

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

April 10, 2019 - Present

ECIO, INC.

Office #1: 821 E Washington Avenue Suite 200, Madison, WI 53703

RIA

CRD#: 301432

MADISON, WI

Past

February 23, 2017 - November 13, 2019

MADISON INVESTMENT ADVISORS, LLC

RIA

CRD#: 110297

MADISON, WI

Past

August 8, 2014 - November 13, 2019

HANSBERGER GROWTH INVESTORS, LP

RIA

CRD#: 171295

MADISON, WI

Past

August 8, 2014 - July 25, 2019

MFD DISTRIBUTOR, LLC

CRD#: 44930

MADISON, WI

Past

August 2, 2010 - August 6, 2014

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

MENOMONEE FALLS, WI

Past

June 28, 2010 - August 6, 2014

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

MENOMONEE FALLS, WI

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".

ECIO, INC.

ECIO, INC. | ECIO, LLC

CRD#: 301432 / SEC#: 801-129326

RIA

Registered Investment Advisory firm - (1/16/2024 Approved)

California

Registered Investment Advisory firm - (3/29/2024 Terminated)

Florida

Registered Investment Advisory firm - (2/28/2024 Terminated)

Missouri

Registered Investment Advisory firm - (2/28/2024 Terminated)

Texas

Registered Investment Advisory firm - (2/28/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/28/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Iowa
(9/17/2025)

IAR

Texas
(4/17/2020)

IAR

Wisconsin
(4/10/2019)

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: 7/23/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/25/2010

General Securities Representative Examination

Current Firm

ECIO, INC.

ECIO, INC. | ECIO, LLC

CRD#: 301432 / SEC#: 801-129326

RIA

Registered Investment Advisory firm - (1/16/2024 Approved)

California

Registered Investment Advisory firm - (3/29/2024 Terminated)

Florida

Registered Investment Advisory firm - (2/28/2024 Terminated)

Missouri

Registered Investment Advisory firm - (2/28/2024 Terminated)

Texas

Registered Investment Advisory firm - (2/28/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/28/2024 Terminated)

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Contact information

Main Address

821 E Washington Avenue Suite 200, Madison, WI 53703

Mailing Address

Phone number

(608) 291-4646

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - ECIO, LLC (3/15/2025)

Regulatory assets under management

Total Number of Accounts	195
AUM (Assets Under Management)	$ 231,739,432

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

Phillip R. Waara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Ronald Waara's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON INVESTMENT ADVISORS, LLC

HANSBERGER GROWTH INVESTORS, LP

MFD DISTRIBUTOR, LLC

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

Primary Firm SEC Registration

ECIO, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/2010

SIE

Date: 10/1/2018

Series 7

Date: 6/25/2010

Current Firm

ECIO, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ECIO, INC.

TRUST BUT VERIFY

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