James William Phillips

Current Employers

Employment History

• 06/2009 → 04/2025
  Morgan Stanley Smith Barney
  Holladay, UT
• 01/2015 → 04/2025
  Morgan Stanley Private Bank, National Association
  New York, NY
• 04/2025 → Present
  Raymond James Financial Services, Inc.
  Holladay, UT
• 04/2025 → Present
  Raymond James Financial Services Advisors, Inc.
  Holladay, UT
• 01/2015 → 05/2025
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2009-06-01 → 2025-05-01
  Morgan Stanley
  Salt Lake City, UT
  Ogden, UT
  Salt Lake City, UT
  Holladay, UT
• 2003-03-25 → 2009-06-01
  Citigroup Global Markets Inc.
  Salt Lake City, UT
  Salt Lake City, UT
• 1999-09-17 → 2003-03-24
  Piper Sandler & Co.
  Salt Lake City, UT

Other Businesses

(1)Name of Business: TKP Investment Properties Address: 3356 East Jalais Hiil Lane, Cottonwood Heights, UT, 84093, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 05/12/2007 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My wife is the owner/operator \ni my help in emergency situations (2) Name of Business: Cottonwood Capital LLC Address: 1371 E 2100 S Ste 215, Salt Lake City, UT, 84105 Activity Type: Support Company - Owner/Non-Owner Position/Title: Independent Contractor Investment Related: No Start Date: 04/17/2025 HPM: 81+ HPM trade hours: 41+Duties: Financial Advisor (3) Name of Business: TRIJIM51 LLC Address: 1371 E 2100 S Ste 215, Salt Lake City, UT, 84105 Activity Type: Support Company - Owner/Non-Owner Position/Title: Independent Contractor investment Related: No Start Date: HPM: 81+ HPM trade hours: 41+ Duties: Investment Advisor

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-12
• S63 Uniform Securities Agent State Law Examination
  1986-11-06

Other Names

• Jim Phillips