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JP

James F. Phillips

RETIREMENT RESOURCES INVESTMENT
Peabody, MA 01960
Some features on this profile are disabled
CRD#: 858532
JP

Professional summary

James Franklin Phillips, who also goes by Jim Phillips, is a registered financial advisor currently at RETIREMENT RESOURCES INVESTMENT CORPORATION located in Peabody, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. James has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jim 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.
NATIONAL ASSOCIATION OF PLAN ADVISORS, INVESTMENT RELATED, 4245 N. FAIRFAX DR., SUITE 750, ARLINGTON, MA 22203. HE IS MEMBER OF LEADERSHIP COUNCIL ADVOCACY GROUP LEADERSHIP COUNCIL SETS DIRECTION FOR THE ASSOCIATION AND OVERSEES THE EDUCATIONAL AND ADVOCACY ACTIVITIES, 5 HRS/MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Franklin 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

October 18, 2005 - Present

RETIREMENT RESOURCES INVESTMENT CORPORATION

Office #1: 100 Corporate Place, Peabody, MA 01960
RIA
CRD#: 47723
Peabody, MA
Past

September 14, 1999 - January 2, 2015

RETIREMENT RESOURCES INVESTMENT CORPORATION

BD
CRD#: 47723
PEABODY, MA
Past

August 21, 1990 - September 8, 1999

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

July 30, 1990 - August 21, 1990

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
Past

March 31, 1989 - August 7, 1990

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 4, 1984 - April 20, 1989

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

November 15, 1979 - October 1, 1984

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

November 1, 1978 - October 28, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

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".
RR
RETIREMENT RESOURCES INVESTMENT CORPORATION
RETIREMENT RESOURCE INVESTMENT CORP. | RETIREMENT RESOURCES INVESTMENT CORPORATION

CRD#: 47723 / SEC#: 801-64658, 8-51876

RIA
Registered Investment Advisory firm - SEC (9/2/2005 Approved)
BD
Terminated by SEC on 12/31/2014

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
Massachusetts
(10/18/2005)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/12/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/18/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/30/1999
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/11/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/6/1990
General Securities Principal Examination

Current Firm

RR
RETIREMENT RESOURCES INVESTMENT CORPORATION
RETIREMENT RESOURCE INVESTMENT CORP. | RETIREMENT RESOURCES INVESTMENT CORPORATION

CRD#: 47723 / SEC#: 801-64658, 8-51876

RIA
Registered Investment Advisory firm - SEC (9/2/2005 Approved)
BD
Terminated by SEC on 12/31/2014
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Contact information

Main Address
100 Corporate Place, Peabody, MA 01960
Mailing Address
Phone number
(978) 536-9000
Established
Massachusetts since 04/15/1999
Firm type
Corporation
Fiscal year end
June
# of Employees
7

SEC notice filing (6 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

ADV PART 2 APPENDIX 1 WRAP FEE PROGRAM BROCHURE (4/17/2025)
RETIREMENT RESOURCES DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (4/17/2025)

Direct owners and executive officers

NamePositionCRD#
PHILLIPS, JAMES FRANKLINPRESIDENT, TREASURER, DIRECTOR, CHIEF COMPLIANCE OFFICER, CFO858532
GENDRON, KAREN MARIEFINOP1503330

Regulatory assets under management

Total Number of Accounts290
AUM (Assets Under Management)$ 1,992,257,844

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

RETIREMENT RESOURCES INVESTMENT CORPORATION

CRD#: 47723Peabody, MA 01960

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