Thomas Michael Phillips
Investment Adviser Representative at Kiplinger Wealth Advisors
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Michael Phillips is an investment adviser representative with Kiplinger Wealth Advisors in Springboro, OH, where they have been registered since 2025. They have worked in the securities industry since 1997 and have been registered with 6 firms, including LPL Financial LLC and Cetera Investment Advisers LLC. They have passed 12 industry qualification exams, including the Series 65 (investment adviser), Series 66 (combined investment adviser and state securities agent), and Series 7 (general securities representative). They are registered to provide investment advice in Ohio.
Office
Advisors at this office: 4
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Ohio
- Broker:
2 states and territories
Florida, Ohio
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- First Allied Securities, Inc.May 2008 – May 2021Franklin, OH
- First Allied Advisory Services, Inc.May 2008 – Nov 2020Franklin, OH
- First Allied Advisory ServicesNov 2020 – May 2021Schaumburg, IL
- LPL Financial, LLCMay 2021 – Aug 2025Middltown, OH
- Kiplinger Wealth AdvisorsAug 2025 – no end date reportedSpringboro, OH
- Private Client ServicesSep 2025 – no end date reportedSpringboro, OH
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Kiplinger Wealth Advisors
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
- Other
- Firm account minimum
- $25,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Investment management (bonds, common stock, IRAs, brokerage accounts, annuities, government securities, and more), financial planning (retirement plans, tax plans, 401k/403b planning, college plans, estate plans), money management (money purchasing plans, profit sharing plans), and insurance (disability income, life, and long-term care insurance).
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 5
- Offices listed on AdvisorFinder:
- 2
- Main office:
- Springboro, OH
- SEC file number:
- 801-129277
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 27, 2026
View full firm profileOther advisors at Kiplinger Wealth Advisors
4 other advisors in the directory
Similar advisors in Springboro, OH
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Michael Phillips has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched