JP
John R. Phillips
CETERA INVESTMENT ADVISERS LLC
WEST DES MOINES, IA
Some features on this profile are disabled
CRD#: 6007336
JP
Professional summary
John Raymond Phillips JR, who also goes by John Raymond Phillips, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Des Moines, Iowa and CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. John has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Raymond 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.
1. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; SAME AS REGISTERED LOCATION; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/19/2014; 20; 20; SALE OF FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: PREMIER RETIREMENT PLAN ADVISORS, INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 06/2014; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES; 3. NAME OF OTHER BUSINESS: PHILLIPS REAL ESTATE HOLDINGS, LLC; INVESTMENT RELATED: NO; ADDRESS: 1080 JORDAN CREEK PATHWAY SUITE 203C WEST DES MOINES, IA 50266; NATURE OF BUSINESS: REAL ESTATE PURCHASE; START DATE: 7/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL; 4. NAME OF OTHER BUSINESS: PHILLIPS REAL ESTATE HOLDINGS II, LLC; INVESTMENT RELATED: NO; ADDRESS: 4920 PLEASANT ST, WEST DES MOINES, IA 50266; NATURE OF BUSINESS: COMMERCIAL REAL ESTATE; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: CO-OWNER/MANAGER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGER OF THE LIMITED LIABILITY COMPANY;
CRS (Client Relationship Summary) - RIA
Click below to view John Raymond Phillips JR'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WEST DES MOINES, IA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4920 Pleasant Street Suite 2, West Des Moines, IA 50266BD
CRD#: 13572
West Des Moines, IA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 27, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
WEST DES MOINES, IA
Past
May 19, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WEST DES MOINES, IA
Past
January 3, 2014 - May 28, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
WEST DES MOINES, IA
Past
October 2, 2013 - December 4, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
WEST DES MOINES, IA
Past
October 2, 2013 - May 15, 2014
BALEFIRE, LLC
RIA
CRD#: 168733
WEST DES MOINES, IA
Past
September 30, 2013 - May 28, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
WEST DES MOINES, IA
Past
April 9, 2012 - October 1, 2013
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
WEST DES MOINES, IA
Past
January 6, 2012 - October 1, 2013
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
WEST DES MOINES, IA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/9/2021)
RR
Arkansas(6/9/2021)
RR
Colorado(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Illinois(6/9/2021)
RR
Indiana(6/9/2021)
RR
Iowa(6/9/2021)
IAR
Iowa(6/29/2023)
RR
Kansas(6/9/2021)
RR
Maryland(1/4/2024)
RR
Michigan(1/4/2024)
RR
Minnesota(6/9/2021)
RR
Missouri(6/9/2021)
RR
Nebraska(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(5/9/2023)
RR
Oklahoma(10/26/2021)
RR
Pennsylvania(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(3/27/2023)
RR
Virginia(8/25/2023)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
