Sean Daniel Phillips

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 09/2015 → 05/2020
  Voya Financial Advisors, Inc.
  Des Moines, IA
• 09/2015 → Present
  Vision Financial Group
  Des Moines, IA
• 05/2020 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 05/2020 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2016-11-08 → 2020-05-11
  Voya Financial Advisors, Inc.
  Des Moines, IA
  Des Moines, IA
  Des Moines, IA

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 05/05/20 2) IOWA SECRETARY OF STATE, 1007 E GRAND AVE, #1055, DES MOINES, IA, NOTARY PUBLIC, 09/09/18, NIR, 5/YR- 0/TRADING 3) A VILLAGE GREEN MONTESSORI, 125 WEST CHURCH STREET, LIBERTYVILLE, IL, BOARD MEMBER OF A NON-PUBLIC ENTITY, TREASURER, 11/14/18, NIR, 40/YR- 0/TRADING 4) TASTE FOR KIDS, LLC, 1301 N CLAVEY RD, ATTN: TASTE FOR KIDS, LLC, HIGHLAND PARK, IL, BOARD MEMBER OF A PUBLIC ENTITY, 09/21/18, NIR, BOARD MEMBER, 25/YR- 0/TRADING 5) VISION FINANCIAL GROUP, 4140 GRAND AVE, DES MOINES, IA, FINANCIAL SERVICES, DBA SALE OF SECURITIES, 11/01/16, INV REL, 555/WK- 30/TRADING 6) TONALITY BREWING COMPANY, 169 North Seymour Road, Mundelein IL 60060, 11/2022, Consultant, Brewery, NIR, 2 HR/MO - 0 HR/MO Trading. 7) FINANCIAL INTEGRATORS, 4140 Grand Ave., Des Moines IA 50312, 01/2025, W2 Employee, DBA Name, INV REL, 180 HR/MO, 140 HR/MO TRADING.

Exams

• S66 Uniform Combined State Law Examination
  2016-11-03

Designations

• Chartered Financial Analyst