AdFi
TM

Thomas Michael Phillips

Investment Adviser Representative at KIPLINGER WEALTH ADVISORS

Springboro, OHCRD #2650010Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
29 yrs
States Registered
2 states
Exams Passed
12

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
FloridaOhio
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 7/16/2013
Series 65
Uniform Investment Adviser Law Examination
Passed 10/24/1995
Series 63
Uniform Securities Agent State Law Examination
Passed 10/24/1995
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 10/25/1995
Series 7
General Securities Representative Examination
Passed 9/26/1995
Series 27
Financial and Operations Principal Examination
Passed 12/11/2002
Series 4
Registered Options Principal Examination
Passed 5/3/1999
Series 53
Municipal Securities Principal Examination
Passed 3/4/1999
Series 24
General Securities Principal Examination
Passed 5/15/1997

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Kiplinger Wealth Advisors Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KIPLINGER WEALTH ADVISORSCurrent
8/22/2025Springboro, OH
LPL FINANCIAL LLC
5/10/20218/22/2025Middletown, OH
CETERA INVESTMENT ADVISERS LLC
11/12/20205/10/2021Franklin, OH
FIRST ALLIED ADVISORY SERVICES, INC.
1/3/200711/12/2020Franklin, OH
FFP ADVISORY SERVICES INC
6/20/20051/3/2007Franklin, OH
SICOR SECURITIES INC
1/2/200212/31/2004Springboro, OH

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at KIPLINGER WEALTH ADVISORS

4 other advisors in the directory

View KIPLINGER WEALTH ADVISORS firm profile
About this profile

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.

Thomas Michael Phillips - Financial Advisor in Springboro, OH | AdvisorFinder