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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Thomas Phillips is a financial advisor who is currently registered with SPC. Richard has been in the industry since March 25, 2014 and has experience with both brokerage and investment advisory services. Richard is a Series 66, Series 63, Series 24, Series 7, and SIE licensed advisor and has held positions at firms such as Raymond James & Associates, ComERICA Securities, and Northwestern Mutual Investment Services, LLC. Richard specializes in working with high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and corporations or other businesses. Richard also has experience in providing financial planning, pension consulting, educational seminars, and portfolio management for businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consultation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar attendance fees
1
2
MI
01/05/2023 - Present
SPC (ANN ARBOR MI)
MI
02/07/2018 - 04/10/2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (TROY MI)
MI
08/20/2015 - 01/09/2018
RAYMOND JAMES & ASSOCIATES, INC. (PLYMOUTH MI)
MI
10/06/2014 - 08/18/2015
COMERICA SECURITIES (FARMINGTON MI)
FL
01/13/2014 - 10/06/2014
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST PETERSBURG FL)
BOTH
Issued 01/04/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/13/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/12/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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