John Raymond Phillips

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2014 → 12/2016
  Prisma Financial
  Des Moines, IA
• 09/2014 → 06/2021
  Voya Financial Advisors
  West Des Moines, IA
• 06/2014 → Present
  Premier Retirement Plan Advisors, Inc
  West Des Moines, IA
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 07/2021 → Present
  Phillips Real Estate Holdings, Llc
  West Des Moines, IA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 10/2023 → Present
  Phillips Real Estate Holdings Ii, Llc
  West Des Moines, IA

Previous Registrations

• 2014-05-27 → 2021-06-09
  Voya Financial Advisors, Inc.
  Des Moines, IA
  West Des Moines, IA
  Des Moines, IA
  Windsor, CT
  Nevada, IA
• 2013-10-02 → 2014-05-28
  Lpl Financial Llc
  West Des Moines, IA
  San Diego, CA
  Dallas, TX
• 2013-10-02 → 2014-05-15
  Balefire, Llc
  Dallas, TX
• 2012-04-09 → 2013-10-01
  Securian Financial Services, Inc.
  West Des Moines, IA

Other Businesses

1. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; SAME AS REGISTERED LOCATION; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/19/2014; 20; 20; SALE OF FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: PREMIER RETIREMENT PLAN ADVISORS, INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 06/2014; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES; 3. NAME OF OTHER BUSINESS: PHILLIPS REAL ESTATE HOLDINGS, LLC; INVESTMENT RELATED: NO; ADDRESS: 1080 JORDAN CREEK PATHWAY SUITE 203C WEST DES MOINES, IA 50266; NATURE OF BUSINESS: REAL ESTATE PURCHASE; START DATE: 7/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL; 4. NAME OF OTHER BUSINESS: PHILLIPS REAL ESTATE HOLDINGS II, LLC; INVESTMENT RELATED: NO; ADDRESS: 4920 PLEASANT ST, WEST DES MOINES, IA 50266; NATURE OF BUSINESS: COMMERCIAL REAL ESTATE; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: CO-OWNER/MANAGER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGER OF THE LIMITED LIABILITY COMPANY;

Exams

• S66 Uniform Combined State Law Examination
  2012-03-31

Other Names

• John Raymond Phillips
• John Raymond Phillips