Kristopher S. Phillips

CETERA INVESTMENT ADVISERS LLC

ENGLEWOOD, FL 34224

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CRD#: 6065455

Professional summary

Kristopher Sean Phillips, who also goes by Kristopher Phillips, Kris Phillips, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Englewood, Florida and CETERA WEALTH SERVICES, LLC located in Sarasota, Florida.

Kristopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Kristopher has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristopher Phillips | Kris 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 OTHER BUSINESS: AGAVE PROPERTIES LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROPERTY MANAGEMENT START DATE: 10/2021 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OWN RENTAL PROPERTIES 2. NAME OF OTHER BUSINESS: FAIRWAY WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 3/2023 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: WILL BE PROVIDING BROKERAGE AND ADVISORY SERVICES TO CLIENTS WHEN NEEDED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristopher Sean Phillips'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 7, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2960 South Mccall Road Suite 206, Englewood, FL 34224Office #2: 1689 2nd St Suite 311, Sarasota, FL 34236

RIA

CRD#: 105644

ENGLEWOOD, FL

Current

March 23, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #2: 1689 2nd St Suite 311, Sarasota, FL 34236

CRD#: 13572

SARASOTA, FL

Past

March 24, 2023 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Sarasota, FL

Past

January 12, 2021 - March 24, 2023

MOORS & CABOT, INC.

RIA

CRD#: 594

ENGLEWOOD, FL

Past

January 11, 2021 - March 24, 2023

MOORS & CABOT, INC.

CRD#: 594

ENGLEWOOD, FL

Past

April 2, 2020 - January 11, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Sarasota, FL

Past

April 1, 2020 - January 11, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

Sarasota, FL

Past

July 23, 2013 - February 20, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SARASOTA, FL

Past

June 26, 2012 - February 20, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

SARASOTA, FL

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(3/24/2023)

IAR

Florida
(4/7/2023)

Kansas
(3/24/2023)

Missouri
(3/23/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/22/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/11/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/8/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/25/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/15/2016

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Kristopher S. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristopher Sean Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MOORS & CABOT, INC.

MOORS & CABOT, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/2016

Series 65

Date: 7/11/2013

Series 7TO

Date: 10/8/2020

SIE

Date: 10/1/2018

Series 6

Date: 6/25/2012

Series 26

Date: 7/15/2016

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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