Robert Phillips has been President, Chief Compliance Officer and Member of Greater Midwest Financial Group since December 2022, is a control person of the firm and directly owns between 25% and 50% of it. Robert Phillips holds a Bachelor of Arts in economics from Carleton College.
Greater Midwest Financial Group, LLC is a Saint Paul, MN firm with $589M under management, 699 clients and 3 advisers in one office, as of its August 2026 filing.
Robert Phillips is President and Chief Compliance Officer of Greater Midwest Financial Group. He is lead advisor for many of the firm's clients and heads the GMFG Investment Committee, which manages the firm's financial decisions and investment portfolios.
Robert Phillips’ longest registration was 7 years at Kestra Advisory Services, LLC (2016–2023). Before joining Greater Midwest Financial Group in 2023, Robert Phillips was registered through Kestra Advisory Services, LLC and NFP Advisor Services, LLC.
- – present · 3 yearsSaint Paul, MN · Adviser representative · Firm CRD 324387
- Kestra Advisory Services, LLC– · 7 yearsSt. Paul, MN · Adviser representative · Firm CRD 283330
- NFP Advisor Services, LLC– · 1 yearSt. Paul, MN · Adviser representative · Firm CRD 42046
- LPL Financial LLC– · 1 yearSt Paul, MN · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Robert Phillips is registered as an investment adviser representative in 2 states. Each was approved in January 2023.
- MinnesotaSince 23 January 2023
- TexasSince 23 January 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 9 June 2010 |
| Series 7 | General Securities Representative Examination | 5 April 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Robert James Phillips
- CRD
- 5692579
- Firm
- Greater Midwest Financial Group · CRD 324387
- Role
- President, Chief Compliance Officer and Member
- Office
- 3222 RICE ST., Saint Paul, MN 55126
- Registration
- Investment adviser registration
- In the industry since
- April 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- greater-midwest.com
Where does Robert Phillips work?
Robert Phillips has been President, Chief Compliance Officer and Member of Greater Midwest Financial Group, LLC since December 2022, and is a control person of the firm.
Is Robert Phillips a financial advisor?
Yes. Robert Phillips has a current investment-adviser registration in Minnesota and Texas, through Greater Midwest Financial Group since January 2023.
How many years of experience does Robert Phillips have?
Robert Phillips has 16 years in the financial industry, since April 2010, across 4 adviser firms.
What exams has Robert Phillips passed?
Robert Phillips has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in April 2010. FINRA credited Robert Phillips with the SIE, which began in October 2018.
Where did Robert Phillips work before Greater Midwest Financial Group?
Before Greater Midwest Financial Group, Robert Phillips was registered through NFP Advisor Services, LLC, May 2015 to September 2016; LPL Financial LLC, January 2014 to June 2015.
Where is Robert Phillips based?
Robert Phillips’ registered office is in Saint Paul, MN.
Is Robert Phillips registered with FINRA?
No. Robert Phillips has no current broker registration.
How can I verify Robert Phillips’ record?
Search CRD 5692579 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Robert Phillips’ full registration record.
