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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

JAMES OTIS PHILLIPS

Advisor at LPL FINANCIAL LLC

RICHMOND, VA | CHESTERFIELD, VA

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Search this name across graphsid dfx:ria:30a2c068-df56-6dd0-fb9f-843992cf7f6e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 8, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 2, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jul 2, 1992
First registration: Mar 8, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 2234534

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 30, 2022	n/a	yes	RICHMOND, VA\|CHESTERFIELD, VA	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jun 1, 2008	Nov 29, 2022	no	Blackstone, VA\|AMELIA, VA	Previous registration
BI INVESTMENTS, LLC	n/a	Mar 30, 2006	Jun 1, 2008	no	AMELIA, VA	Previous registration
STIFEL INDEPENDENT ADVISORS, LLC	Bd affiliated wealth	Jan 24, 2005	Apr 11, 2006	no	MIDLOTHIAN, VA\|MIDLOTHIAN, VA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 8, 2000	Dec 16, 2004	no	RICHMOND, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC INSTITUTIONS, INC.	LPL FINANCIAL LLC	Nov 29, 2022	Nov 30, 2022	1	Firm change	Ibd to RIA
BI INVESTMENTS, LLC	OSAIC INSTITUTIONS, INC.	Jun 1, 2008	Jun 1, 2008	0	Bulk transfer	Other
STIFEL INDEPENDENT ADVISORS, LLC	BI INVESTMENTS, LLC	Apr 11, 2006	Mar 30, 2006	-12	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	STIFEL INDEPENDENT ADVISORS, LLC	Dec 16, 2004	Jan 24, 2005	39	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 30, 2022 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Jun 1, 2008 to Nov 29, 2022factForm ADV
→ BI INVESTMENTS, LLCRegistered adviserregistration: previous registration
Mar 30, 2006 to Jun 1, 2008factForm ADV
→ STIFEL INDEPENDENT ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 24, 2005 to Apr 11, 2006factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 8, 2000 to Dec 16, 2004factForm ADV

Dated events

Occurred
Nov 29, 2022
Advisor changed firm
James Otis Phillips left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2022-11-30)
Form ADVobserved 6 days ago