John Phillips has been Chief Compliance Officer of Northside Capital Management since May 2004, is a control person of the firm and directly owns under 5% of it.
Northside Capital Management LLC is a Hood River, OR firm with $6.94B under management, 60 clients and 9 advisers across 4 offices, as of its March 2026 filing.
- – present · 24 yearsBeaufort, SC · Adviser representative · Firm CRD 107784
Investment adviser representative registrations
John Phillips is registered as an investment adviser representative in 3 states. The first approvals date from May 2002; the most recent is South Carolina, in March 2026.
- OregonSince 2 May 2002
- South CarolinaSince 8 March 2026
- TexasSince 12 June 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 26 January 2001 |
| Series 7 | General Securities Representative Examination | 13 October 2000 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Hugh Phillips
- CRD
- 4266892
- Firm
- Northside Capital Management · CRD 107784
- Role
- Chief Compliance Officer
- Office
- Beaufort, SC
- Registration
- Investment adviser registration
- In the industry since
- May 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does John Phillips work?
John Phillips has been Chief Compliance Officer of Northside Capital Management LLC since May 2004, and is a control person of the firm.
Is John Phillips a financial advisor?
Yes. John Phillips has a current investment-adviser registration in Oregon, South Carolina and Texas, through Northside Capital Management since May 2002.
How many years of experience does John Phillips have?
John Phillips has 24 years in the financial industry, since May 2002, across 1 adviser firm.
What exams has John Phillips passed?
John Phillips has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in October 2000.
Where is John Phillips based?
John Phillips’ registered office is in Beaufort, SC.
Is John Phillips registered with FINRA?
No. John Phillips has no current broker registration.
How can I verify John Phillips’ record?
Search CRD 4266892 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Phillips’ full registration record.
- Morris ChestonDirector
- Donald DewolfeDirector
- Eva DewolfeCo-Trustee