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RP

Richard L. Phillips

PHILLIPS FINANCIAL
Fort Wayne, IN 46804
Some features on this profile are disabled
CRD#: 705499
RP

Professional summary

Richard Lynn Phillips JR, CFP®, who also goes by Richard L Phillips Jr, Rick Phillips, Scooter Phillips, is a registered financial advisor currently at PHILLIPS FINANCIAL located in Fort Wayne, Indiana.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Richard has worked at 6 firms and has passed the Series 63, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard L Phillips Jr | Rick Phillips | Scooter 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.
INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lynn Phillips JR'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®
CFP®

Certified Financial Planner

Start date: 1986

Experience

Current

August 10, 2004 - Present

PHILLIPS FINANCIAL

Office #1: 6920 Pointe Inverness Way Suite 230, Fort Wayne, IN 46804
RIA
CRD#: 131344
Fort Wayne, IN
Past

July 6, 2004 - September 30, 2004

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA
CRD#: 39543
FORT WAYNE, IN
Past

July 6, 2004 - May 16, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FORT WAYNE, IN
Past

December 1, 1998 - July 9, 2004

OSAIC FA, INC.

RIA
CRD#: 3978
FT. WAYNE, IN
Past

January 19, 1989 - July 9, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

December 1, 1983 - January 29, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

December 28, 1981 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

BD
CRD#: 10293
Past

March 10, 1980 - July 9, 2004

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

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".
PF
PHILLIPS FINANCIAL
PHILLIPS FINANCIAL | PHILLIPS FINANCIAL SERVICES | PHILLIPS FINANCIAL MANAGEMENT, LLC

CRD#: 131344 / SEC#: 801-63343

RIA
Registered Investment Advisory firm - (7/23/2004 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.

Highlighted states indicate IAR registrations

IAR
Indiana
(8/10/2004)

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1984
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 3/2/1980
Registered Representative Examination

Current Firm

PF
PHILLIPS FINANCIAL
PHILLIPS FINANCIAL | PHILLIPS FINANCIAL SERVICES | PHILLIPS FINANCIAL MANAGEMENT, LLC

CRD#: 131344 / SEC#: 801-63343

RIA
Registered Investment Advisory firm - (7/23/2004 Approved)
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Contact information

Main Address
6920 Pointe Inverness Way Suite 230, Fort Wayne, IN 46804
Mailing Address
Phone number
(260) 420-7732
Established
Firm type
Fiscal year end
# of Employees
31

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PFM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts3,084
AUM (Assets Under Management)$ 2,214,893,239

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/26/2025
Cover Page
Report
11/27/2024
Cover Page
Report
10/30/2023
Cover Page
Report
01/03/2023
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.

Company Information

PHILLIPS FINANCIAL

CRD#: 131344Fort Wayne, IN 46804

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