Benjamin R. Philips

STRATA WEALTH ADVISORS

Dallas, TX 75231

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CRD#: 7276205

Professional summary

Benjamin Rufus Philips, who also goes by Ben R. Philips, Benjamin R. Philips, Benjamin Philips, is a registered financial advisor currently at STRATA WEALTH ADVISORS, LLC located in Dallas, Texas.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Benjamin has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben R. Philips | Benjamin R. Philips | Benjamin Philips

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.

Rental properties; not investment-related; Sunnyvale, TX; real estate; Owner; started 03/2023; approximately 5 hours per month, zero hours during securities trading hours; property management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Rufus Philips'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

February 6, 2024 - Present

STRATA WEALTH ADVISORS, LLC

Office #1: 8750 N. Central Expressway Suite 1875, Dallas, TX 75231

RIA

CRD#: 285973

Dallas, TX

Past

August 10, 2021 - January 16, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

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".

STRATA WEALTH ADVISORS, LLC

KPLL LLC | STRATA WEALTH ADVISORS, LLC

CRD#: 285973 / SEC#: 801-110369

RIA

Registered Investment Advisory firm - (4/21/2017 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

Texas
(2/6/2024)

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

State Security Law Exam

Series 63

Date: 9/2/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/10/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/21/2021

Securities Industry Essentials Examination

Current Firm

STRATA WEALTH ADVISORS, LLC

KPLL LLC | STRATA WEALTH ADVISORS, LLC

CRD#: 285973 / SEC#: 801-110369

RIA

Registered Investment Advisory firm - (4/21/2017 Approved)

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Contact information

Main Address

8750 N. Central Expressway Suite 1875, Dallas, TX 75231

Mailing Address

Phone number

(214) 420-7020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (10/8/2025)

Regulatory assets under management

Total Number of Accounts	1,133
AUM (Assets Under Management)	$ 927,332,469

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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Benjamin R. Philips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Rufus Philips's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATA WEALTH ADVISORS, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

STRATA WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/2/2021

Series 7TO

Date: 8/10/2021

SIE

Date: 4/21/2021

Current Firm

STRATA WEALTH ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATA WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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