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Richard Thomas Phillips

Spc

Ann Arbor, MI

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Current Employers
Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2023-01-05
  • MI RA
    APPROVED
    Since 2023-01-05

Branch Locations

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates Plymouth MI 08/2015 01/2018
David Sokol Troy MI 12/2017 04/2018
Northwestern Mutual Investment Services Llc Troy MI 01/2018 04/2018
Sigma Financial Corporation Ann Arbor MI 05/2018 Present
Parkland Securities Ann Arbor MI 01/2019 Present
  • 08/2015 → 01/2018
    Raymond James & Associates
    Plymouth, MI
  • 12/2017 → 04/2018
    David Sokol
    Troy, MI
  • 01/2018 → 04/2018
    Northwestern Mutual Investment Services Llc
    Troy, MI
  • 05/2018 → Present
    Sigma Financial Corporation
    Ann Arbor, MI
  • 01/2019 → Present
    Parkland Securities
    Ann Arbor, MI
Other Businesses

Sale of trading cards on eBay. Start date: 1/28/26, approx. 1 hr/mo, none during mkt hrs. INV REL: N

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-04
S63 Uniform Securities Agent State Law Examination 2014-02-13
  • S66 Uniform Combined State Law Examination
    2023-01-04
  • S63 Uniform Securities Agent State Law Examination
    2014-02-13
Other Names
  • Rich Thomas Phillips
  • Ricky Thomas Phillips
  • Rick Thomas Phillips

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
FIRST HEARTLAND CONSULTANTS, INC.
OSAIC ADVISORY SERVICES, LLC
GREYDOG FINANCIAL
EDWARD JONES
J.P. MORGAN SECURITIES LLC
SECURITY FINANCIAL ADVISORS,LLC

Other Investors

WILLIAM ROBERT ELGER
JOHN ALEXANDER MCCLELLAN
JEFFREY STEPHEN SELF
DOUGLAS ALAN VANDERSTELT
MARCUS MAYURKANT TRIVEDI
JENNIFER A. WATSON
SCOTT ARTHUR HAYDEN
DENNIS JOHN CUNNINGHAM

Other Offices

SPC · Ann Arbor, MI
LPL FINANCIAL LLC · ANN ARBOR, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ANN ARBOR, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ANN ARBOR, MI
FIRST HEARTLAND CONSULTANTS, INC. · ANN ARBOR, MI
LPL FINANCIAL LLC · ANN ARBOR, MI
OSAIC ADVISORY SERVICES, LLC · Ann Arbor, MI
LPL FINANCIAL LLC · ANN ARBOR, MI

More in Ann Arbor, MI

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