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Richard Thomas Phillips
RICH THOMAS PHILLIPS, RICK THOMAS PHILLIPS, RICKY THOMAS PHILLIPS
CRD#: 6041363
IA
Investment Adviser
B
Broker
SPCCRD#: 110692 300 PARKLAND PLAZA
ANN ARBOR, MI 48103
PARKLAND SECURITIES, LLCCRD#: 115368 300 PARKLAND PLAZA
ANN ARBOR, MI 48103
Registration History
2014201520162017201820192020202120222023202420252026IASPC (CRD# 110692)2023 - Present (2 years)BPARKLAND SECURITIES, LLC (CRD# 115368)2019 - Present (6 years)BSIGMA FINANCIAL CORPORATION (CRD# 14303)2018 - Present (6 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2018 - 2018 (<1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2015 - 2018 (2 years)BCOMERICA SECURITIES (CRD# 17079)2014 - 2015 (<1 year)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2014 - 2014 (<1 year)
License(s)

State Registrations

B
Michigan 5/24/2018

IA
Michigan 1/5/2023

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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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
SPC (CRD#:110692)
300 PARKLAND PLAZA, ANN ARBOR, MI 48103
Registered with this firm since 1/5/2023

B
PARKLAND SECURITIES, LLC (CRD#:115368)
300 PARKLAND PLAZA, ANN ARBOR, MI 48103
Farmington Hills, MI
Registered with this firm since 1/4/2019

B
SIGMA FINANCIAL CORPORATION (CRD#:14303)
300 PARKLAND PLAZA, ANN ARBOR, MI 48103
Farmington Hills, MI
Registered with this firm since 5/24/2018

Previous Registration(s)
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B
02/07/2018 - 04/10/2018 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) TROY, MI
B
08/20/2015 - 01/09/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) PLYMOUTH, MI
B
10/06/2014 - 08/18/2015 COMERICA SECURITIES (CRD#:17079) FARMINGTON, MI
B
01/13/2014 - 10/06/2014 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ST PETERSBURG, FL
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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.