Phillip M. Simcox

HARBOR CAPITAL ADVISORS

Chicago, IL

Some features on this profile are disabled

CRD#: 7141063

Professional summary

Phillip M Simcox, who also goes by Phillip M Simcox, is a registered financial advisor currently at HARBOR CAPITAL ADVISORS, INC. located in Chicago, Illinois and HARBOR FUNDS DISTRIBUTORS, INC. located in Chicago, Illinois.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Phillip has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phillip M Simcox

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip M Simcox'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®

None

Experience

Current

August 13, 2024 - Present

HARBOR CAPITAL ADVISORS, INC.

RIA

CRD#: 113042

Chicago, IL

Current

August 13, 2024 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

Office #1: 111 South Wacker Drive 34th Floor, Chicago, IL 60606

CRD#: 113506

Chicago, IL

Past

December 14, 2022 - June 6, 2023

CORIENT

RIA

CRD#: 319448

ITASCA, IL

Past

February 2, 2021 - March 31, 2023

BALASA DINVERNO FOLTZ LLC

RIA

CRD#: 113630

ITASCA, IL

Past

December 9, 2019 - November 16, 2020

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Indianapolis, IN

Past

November 8, 2019 - November 16, 2020

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Indianapolis, 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".

HARBOR CAPITAL ADVISORS, INC.

BLADE CAPITAL ADVISORS, INC. | HARBOR CAPITAL ADVISORS, INC.

CRD#: 113042 / SEC#: 801-60367

RIA

Registered Investment Advisory firm - (6/7/2001 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

Alabama
(9/19/2025)

Alaska
(9/23/2025)

Arizona
(9/19/2025)

Arkansas
(9/29/2025)

California
(9/19/2025)

Connecticut
(8/14/2024)

Delaware
(9/19/2025)

District of Columbia
(9/19/2025)

Florida
(8/13/2024)

Georgia
(9/19/2025)

Idaho
(8/14/2024)

IAR

Illinois
(8/13/2024)

Illinois
(9/18/2025)

Indiana
(9/24/2025)

Iowa
(9/19/2025)

Kansas
(9/19/2025)

Kentucky
(9/18/2025)

Louisiana
(9/18/2025)

Maine
(9/19/2025)

Massachusetts
(9/19/2025)

Michigan
(9/18/2025)

Minnesota
(9/18/2025)

Mississippi
(9/18/2025)

Missouri
(9/19/2025)

Montana
(9/18/2025)

Nebraska
(9/18/2025)

Nevada
(9/19/2025)

New Hampshire
(9/22/2025)

New Jersey
(9/18/2025)

New Mexico
(9/19/2025)

New York
(9/19/2025)

North Carolina
(9/19/2025)

North Dakota
(9/22/2025)

Ohio
(9/19/2025)

Oklahoma
(9/18/2025)

Oregon
(9/24/2025)

Pennsylvania
(9/19/2025)

Puerto Rico
(8/29/2024)

Rhode Island
(9/19/2025)

South Carolina
(9/18/2025)

South Dakota
(9/18/2025)

Tennessee
(9/19/2025)

Texas
(9/18/2025)

Utah
(9/22/2025)

Vermont
(9/19/2025)

Virgin Islands
(9/19/2025)

Virginia
(9/19/2025)

Washington
(9/18/2025)

West Virginia
(9/25/2025)

Wisconsin
(9/23/2025)

Wyoming
(9/22/2025)

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: 9/18/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/9/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/24/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/16/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

HARBOR CAPITAL ADVISORS, INC.

BLADE CAPITAL ADVISORS, INC. | HARBOR CAPITAL ADVISORS, INC.

CRD#: 113042 / SEC#: 801-60367

RIA

Registered Investment Advisory firm - (6/7/2001 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

111 South Wacker Drive 34th Floor, Chicago, IL 60606-4302

Mailing Address

Phone number

(312) 443-4400

Established

Firm type

Fiscal year end

# of Employees

236

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV - 2025 PART 2A BROCHURE DTD 03-25-2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 64,793,443,492

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Phillip M. Simcox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip M Simcox's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOR FUNDS DISTRIBUTORS, INC.

CORIENT

BALASA DINVERNO FOLTZ LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

HARBOR CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/2025

Series 66

Date: 12/9/2019

Series 7TO

Date: 1/24/2024

SIE

Date: 9/16/2019

FINRA

Current Firm

HARBOR CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARBOR CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors