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James Franklin Phillips

Retirement Resources Investment Corporation

Andover, MA

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Current Employers
Retirement Resources Investment Corporation

10 New England Business Center Drive Suite 107, Andover, MA 01810 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2005-10-18
  • MA RA
    APPROVED
    Since 2005-10-18

Branch Locations

10 New England Business Center Drive Suite 107, Andover, MA 01810 • 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
Retirement Resources Investment Corporation Peabody MA 04/1999 Present
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-12
S63 Uniform Securities Agent State Law Examination 1989-01-18
  • S66 Uniform Combined State Law Examination
    2005-10-12
  • S63 Uniform Securities Agent State Law Examination
    1989-01-18
Other Names
  • Jim Phillips

View on SEC IAPD

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