• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
RICHARD JOHN PHILLIPS
RICHARD PHILLIPS
CRD#: 5209486
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 CHICAGO, IL
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 401 N. MICHIGAN AVENUE STE 100
CHICAGO, IL 60611
Registration History
20062008201020122014201620182020202220242026IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2006 - Present (18 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2007 - 2018 (10 years)
License(s)

State Registrations

B
Illinois 11/20/2006

IA
Texas 7/13/2018

IA
Illinois 1/6/2022

B
Texas 11/17/2020

B
Massachusetts 11/17/2020

B
Utah 11/17/2020

SRO Registrations

B
FINRA

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
CHICAGO, IL
401 N. MICHIGAN AVENUE STE 100, CHICAGO, IL 60611
Registered with this firm since 7/13/2018

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
401 N. MICHIGAN AVENUE STE 100, CHICAGO, IL 60611
CHICAGO, IL
Registered with this firm since 10/26/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/10/2007 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.