Phillip G. Wildes

ARROYO INVESTMENT GROUP

Littleton, CO

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CRD#: 7776752

Professional summary

Phillip Gene Wildes, who also goes by Phillip Wildes, is a registered financial advisor currently at ARROYO INVESTMENT GROUP, LLC located in Littleton, Colorado and CAPITAL RESEARCH BROKERAGE SERVICES, LLC located in Pasadena, California.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Phillip has worked at 3 firms and has passed the Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phillip Wildes

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) 1. 49 Wealth Management 2. Investment Related 3.RIA 4. Office of Employment Address 5. Financial Professional 6. 07/2023 7. Hrs/month 160 all during trading hours 8. Hrs/month 160 all during trading hours 9. Provide advice to clients. 2) 1. Fixed Insurance 2. Investment Related 3. Fixed / Traditional Insurance 4. Office of Employment Address 5. Agent 6. 07/2023 7. Hrs/month 4 all during trading hours 8. Hrs/month 4 all during trading hours 9. Sales of Fixed / Traditional insurance products. 3) Arroyo Investment Group, 15 S. Raymond Ave Pasadena CA 91105, 10/2023 Hrs per month 120 / 6 hours during trading per day. Solicit new clients for advisory firm.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Gene Wildes'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

October 16, 2023 - Present

ARROYO INVESTMENT GROUP, LLC

RIA

CRD#: 130243

Littleton, CO

Current

October 11, 2023 - Present

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

Office #1: 15 S. Raymond Avenue Suite 200, Pasadena, CA 91105

CRD#: 40823

Pasadena, CA

Past

August 28, 2023 - October 9, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Atlanta, GA

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".

ARROYO INVESTMENT GROUP, LLC

ARROYO INVESTMENT GROUP, LLC | ODELL INVESTMENT GROUP, LLC

CRD#: 130243 / SEC#: 801-62813

RIA

Registered Investment Advisory firm - (3/3/2004 Approved)

California

Registered Investment Advisory firm - (3/5/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(10/11/2023)

IAR

California
(10/16/2023)

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: 6/29/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 8/26/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/22/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

ARROYO INVESTMENT GROUP, LLC

ARROYO INVESTMENT GROUP, LLC | ODELL INVESTMENT GROUP, LLC

CRD#: 130243 / SEC#: 801-62813

RIA

Registered Investment Advisory firm - (3/3/2004 Approved)

California

Registered Investment Advisory firm - (3/5/2004 Terminated)

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Contact information

Main Address

15 S. Raymond Avenue Suite 200, Pasadena, CA 91105

Mailing Address

Phone number

(626) 844-1441

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIG NARRATIVE ADV PART 2A 03032025 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	914
AUM (Assets Under Management)	$ 250,743,936

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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Phillip G. Wildes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Gene Wildes's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARROYO INVESTMENT GROUP, LLC

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

Primary Firm SEC Registration

ARROYO INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/2023

Series 6TO

Date: 8/26/2023

SIE

Date: 6/22/2023

FINRA

Current Firm

ARROYO INVESTMENT GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARROYO INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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