PHILLIPS AND COMPANY ADVISORS, LLC
Legal name: PHILLIPS & COMPANY
CRD #35800 SEC #801-63879 PORTLAND, OR 503-224-0858
SEC Registered Broker-Dealer
Total AUM
$218.3M
Discretionary
$21.3M
Employees
11
Clients
0
Accounts
1,658
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- May 4, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| HAGEN, PHILIP BRYAN | I | CROP/SROP, COMPLIANCE, MUNI PRINCIPAL, OPTIONS PRINCIPAL,CHIEF COMPLIANCE OFFICER | NA | Control |
| HAGEN, PHILIP BRYAN | I | CROP/SROP, COMPLIANCE, MUNI PRINCIPAL, OPTIONS PRINCIPAL,CHIEF COMPLIANCE OFFICER | NA | Control |
| HAGEN, PHILIP BRYAN | I | CROP/SROP, COMPLIANCE, MUNI PRINCIPAL, OPTIONS PRINCIPAL,CHIEF COMPLIANCE OFFICER | NA | Control |
| HAGEN, PHILIP BRYAN | I | CROP/SROP, COMPLIANCE, MUNI PRINCIPAL, OPTIONS PRINCIPAL,CHIEF COMPLIANCE OFFICER | NA | Control |
| HARPER, JOSEPH THORNTON III | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARPER, JOSEPH THORNTON III | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARPER, JOSEPH THORNTON III | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARPER, JOSEPH THORNTON III | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARPER, JOSEPH THORNTON III | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARPER, JOSEPH THORNTON III | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARPER, JOSEPH THORNTON III | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, COO | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, COO | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, CFO | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, COO | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL | NA | Control |
| SMITH, JAMES TODD | I | FIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL | NA | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | E | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | E | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | E | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | E | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | E | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | E | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | E | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | E | Control |
| CLARK, STEVEN CHRISTOPHER | I | PRESIDENT/MANAGING DIRECTOR | D | Control |
| CLARK, STEVEN CHRISTOPHER | I | PRESIDENT/MANAGING DIRECTOR | D | Control |
| CLARK, STEVEN CHRISTOPHER | I | PRESIDENT/MANAGING DIRECTOR | D | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | D | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | D | Control |
| PHILLIPS, TIMOTHY CHARLES | I | CEO | D | Control |
Registrations
Federal
IA
May 4, 2012 REGISTERED
Notice Filings (40)
AK AR AZ CA CO DE FL GA IA ID IL IN KS KY LA MD MI MN MO MS MT NC ND NE NJ NM NV NY OH OK OR PA SC SD TX UT VA WA WI WV
Address
1300 SW FIFTH AVESUITE 2100
PORTLAND, OR 97201-5628
United States
Phone: 503-224-0858