Phillip Ronald Waara
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Phillip Waara
Similar Advisors
CITIZENS SECURITIES, INC.
ELLIS FINANCIAL PLANNING
UBS SECURITIES LLC
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CITIZENS SECURITIES, INC.
ELLIS FINANCIAL PLANNING
UBS SECURITIES LLC
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CITIZENS SECURITIES, INC.
ELLIS FINANCIAL PLANNING
UBS SECURITIES LLC
LPL FINANCIAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
CITIZENS SECURITIES, INC.
ELLIS FINANCIAL PLANNING
UBS SECURITIES LLC
LPL FINANCIAL LLC
Years of Experience
16 years in the financial services industry
Current & Past Employments
Similar Advisors
CITIZENS SECURITIES, INC.
ELLIS FINANCIAL PLANNING
UBS SECURITIES LLC
LPL FINANCIAL LLC
Current Firm
ECIO, INC. | ECIO, LLC
Contact Information
Main Address
821 E Washington Avenue Suite 200, Madison, WI 53703Phone Number
(608) 291-4646# of Employees
8SEC notice filing (14 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
241AUM (Assets Under Management)
$395,623,696Similar Advisors
CITIZENS SECURITIES, INC.
ELLIS FINANCIAL PLANNING
UBS SECURITIES LLC
LPL FINANCIAL LLC
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.
Similar Advisors
CITIZENS SECURITIES, INC.
ELLIS FINANCIAL PLANNING
UBS SECURITIES LLC
LPL FINANCIAL LLC
Primary Firm SEC Registration
ECIO, INC. | ECIO, LLC
State Registrations and Notice Filings
(9/17/2025)
(4/17/2020)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
CITIZENS SECURITIES, INC.
ELLIS FINANCIAL PLANNING
UBS SECURITIES LLC
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Ronald Waara's CRS (Customer Relationship Summary).
Similar Advisors
CITIZENS SECURITIES, INC.
ELLIS FINANCIAL PLANNING
UBS SECURITIES LLC
LPL FINANCIAL LLC
