James Phillips has been President of OxenFree Capital since April 2023, is a control person of the firm and directly owns 75% or more of it. James Phillips holds a Bachelor of Science in Business Administration from Ashland University.
Oxenfree Capital LLC is a Melbourne, FL firm with $250M under management, 950 clients and 8 advisers across 2 offices, as of its June 2026 filing.
James Phillips is President / Founder of OxenFree Financial. He specializes in investment and estate planning for clients who want to protect, grow and distribute their wealth. In 2012 he opened his own firm to better serve his clients.
James Phillips’ longest registration was 10 years at Cetera Advisor Networks LLC (2013–2023). Before joining OxenFree Capital in 2023, James Phillips was registered through Cetera Investment Advisers LLC and Affinity Financial Advisors.
- Oxenfree FinancialCurrent– present · 3 yearsMelbourne, FL · Adviser representative · Firm CRD 327105
- Cetera Investment Advisers LLC– · under a yearSatellite Beach, FL · Adviser representative · Firm CRD 105644
- Affinity Financial Advisors– · 3 yearsSatellite Beach, FL · Adviser representative · Firm CRD 114412
- Cetera Advisor Networks LLC– · 10 yearsSatellite Beach, FL · Adviser representative · Firm CRD 13572
- PNC Investments– · under a yearWest Melbourne, FL · Adviser representative · Firm CRD 129052
Investment adviser representative registrations
James Phillips is registered as an investment adviser representative in 2 states. Each was approved in July 2023.
- FloridaSince 10 July 2023
- TexasSince 6 July 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 27 February 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 March 2008 |
| Series 7 | General Securities Representative Examination | 2 May 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Xerxes Phillips
- CRD
- 5024716
- Firm
- OxenFree Capital · CRD 327105
- Role
- President
- Office
- 1900 S. HARBOR CITY BLVD., STE. 111, Melbourne, FL 32901-4725
- Registration
- Investment adviser registration
- In the industry since
- August 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- oxenfreefinancial.com
Where does James Phillips work?
James Phillips has been President of Oxenfree Capital LLC since April 2023, and is a control person of the firm.
Is James Phillips a financial advisor?
Yes. James Phillips has a current investment-adviser registration in Florida and Texas, through OxenFree Capital since July 2023.
How many years of experience does James Phillips have?
James Phillips has 20 years in the financial industry, since August 2006, across 5 adviser firms.
What exams has James Phillips passed?
James Phillips has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in May 2006. FINRA credited James Phillips with the SIE, which began in October 2018.
Where did James Phillips work before OxenFree Capital?
Before OxenFree Capital, James Phillips was registered through Cetera Advisor Networks LLC, February 2013 to June 2023; PNC Investments, February 2012 to November 2012.
Where is James Phillips based?
James Phillips’ registered office is in Melbourne, FL.
Is James Phillips registered with FINRA?
No. James Phillips has no current broker registration.
How can I verify James Phillips’ record?
Search CRD 5024716 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Phillips’ full registration record.
