Unclaimed Profile

James Todd Smith

PHILLIPS AND COMPANY ADVISORS LLC·PORTLAND, Oregon

SIE, Series 4, Series 7, Series 14, Series 24, Series 28, Series 53, Series 63, Series 65, Series 99TOClean record12 years registeredPHILLIPS AND COMPANY ADVISORS LLC

521 SW 11TH AVENUE, PORTLAND, OR 97205CRD# 1396542Firm CRD# 167214

Profile Verification

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

Identity

James Todd Smith · PORTLAND, OR

Registration

CRD #1396542 · PHILLIPS AND COMPANY ADVISORS LLC · 12 years registered

Brand Profile

Not yet started

Career History

PHILLIPS AND COMPANY ADVISORS LLC

Dec 2013 – present

PHILLIPS & COMPANY

Nov 2013 – Dec 2013

PORTLAND, OR

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 14

Series 24

Series 28

Series 53

Series 63

Series 65

Series 99TO

Registration record

First registered · November 6, 2013

Years registered · 12

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PHILLIPS AND COMPANY ADVISORS LLC

CRD 167214 · SEC 801-63879

AUM

$1.4B

Regulatory assets under management

Employees

1,384 client accounts

Services offered by PHILLIPS AND COMPANY ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PHILLIPS AND COMPANY ADVISORS LLC →

Introduction

Speak with James

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if James is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in PORTLAND?

Browse all registered financial advisors in PORTLAND, Oregon or claim this profile if it's yours.

Browse PORTLAND Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does James Todd Smith offer?

James Todd Smith specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in PORTLAND, Oregon for a consultation.

What are James Todd Smith's credentials?

James Todd Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Todd Smith located?

James Todd Smith is based in PORTLAND, Oregon, working with PHILLIPS AND COMPANY ADVISORS LLC. Their office serves clients in the PORTLAND metropolitan area and surrounding communities.

How does James Todd Smith charge for services?

James Todd Smith's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PHILLIPS AND COMPANY ADVISORS LLC?

PHILLIPS AND COMPANY ADVISORS LLC has approximately 22 employees and manages $1.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →