Unclaimed Profile

Thompson Sylvester Phillips

PHILLIPS CAPITAL ADVISORS, INC.·OKLAHOMA CITY, Oklahoma

SIE, Series 4, Series 5, Series 7, Series 14, Series 24, Series 52TO, Series 53, Series 63, Series 99TO36 years registeredPHILLIPS CAPITAL ADVISORS, INC.

3401 NW 63RD ST. STE 500, OKLAHOMA CITY, OK 73116CRD# 843039Firm CRD# 115758

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thompson Sylvester Phillips · OKLAHOMA CITY, OK

Registration

CRD #843039 · PHILLIPS CAPITAL ADVISORS, INC. · 36 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PHILLIPS CAPITAL ADVISORS, INC.

THURSTON SPRINGER ADVISORS

Jun 2024 – May 2025

Oklahoma City, OK

PHILLIPS CAPITAL ADVISORS, INC.

Apr 1990 – Jun 2024

OKLAHOMA CITY, OK

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 5

Series 7

Series 14

Series 24

Series 52TO

Series 53

Series 63

Series 99TO

Registration record

First registered · April 9, 1990

Years registered · 36

Disclosure History

2019Regulatory·Final

2017Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

PHILLIPS CAPITAL ADVISORS, INC.

CRD 115758 · SEC 801-66961

AUM

$589M

Regulatory assets under management

Employees

646 client accounts

Services offered by PHILLIPS CAPITAL ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PHILLIPS CAPITAL ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Thompson Sylvester Phillips offer?

Thompson Sylvester Phillips specializes in Financial Planning, Investment Management, Wealth Management.

What are Thompson Sylvester Phillips's credentials?

Thompson Sylvester Phillips is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thompson Sylvester Phillips located?

Thompson Sylvester Phillips is based in OKLAHOMA CITY, Oklahoma, last registered with PHILLIPS CAPITAL ADVISORS, INC..

How does Thompson Sylvester Phillips charge for services?

Thompson Sylvester Phillips's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PHILLIPS CAPITAL ADVISORS, INC.?

PHILLIPS CAPITAL ADVISORS, INC. has approximately 17 employees and manages $589M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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