JP
James X. Phillips
OXENFREE FINANCIAL
MELBOURNE, FL 32901-4725
Some features on this profile are disabled
CRD#: 5024716
JP
Professional summary
James Xerxes Phillips, who also goes by James Phillips, is a registered financial advisor currently at OXENFREE FINANCIAL located in Melbourne, Florida.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Phillips
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: VARIOUS INSURANCE COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED BRANCH, NATURE OF BUSINESS: INSURANCE, POSITION/TITLE/RELATIONSHIP: AGENT, START DATE: N/A, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: OFFERS FIXED LIFE AND ANNUITIES; 2. NAME OF OTHER BUSINESS: FELLOWSHIP OF CHRISTIAN ATHLETES, INVESTMENT RELATED: NO, ADDRESS: 8701 LEEDS RD., KANSAS CTY, MO 64129, NATURE OF BUSINESS: NON-PROFIT, START DATE: 09/01/2013, APX NUMBER OF HOURS PER WEEK: 1, NONE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER; 3. OXENFREE TECHNOLOGY LLC, NOT INVESTMENT-RELATED. 3172 TUSCAWILLOW DR. MELBOURNE, FL 32934. START DATE-4/4/24-FINTECH COMPANY. POSITION-PRESIDENT. 20 HOURS WORKED PER MONTH. 0 HOURS DURING SECURITIES TRADING HOURS. 4. NAME OF OTHER BUSINESS: CHURCH AT VIERA, NOT INVESTMENT RELATED, ADDRESS: 9005 N WICKHAM RD, MELBOURNE, FL 32940, NATURE OF BUSINESS: NON-PROFIT, START DATE: 05/01/2025, APX NUMBER OF HOURS PER MONTH: 1, NONE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: FINANCE COMMITTEE MEMBER; 5. NAME OF OTHER BUSINESS: NO LIMITS ACADEMY, NOT INVESTMENT RELATED, ADDRESS: 4450 W EAU GALLIE BLVD SUITE 180, MELBOURNE, FL 32934, NATURE OF BUSINESS: NON-PROFIT, START DATE: 08/25/2025, APX NUMBER OF HOURS PER QUARTER: 1, NONE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER;
CRS (Client Relationship Summary) - RIA
Click below to view James Xerxes Phillips's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 6, 2023 - Present
OXENFREE FINANCIAL
Office #1: 1900 S. Harbor City Blvd. Ste. 111, Melbourne, FL 32901-4725RIA
CRD#: 327105
MELBOURNE, FL
Past
June 1, 2023 - July 27, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SATELLITE BEACH, FL
Past
May 22, 2020 - October 6, 2023
AFFINITY FINANCIAL ADVISORS
RIA
CRD#: 114412
SATELLITE BEACH, FL
Past
February 1, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SATELLITE BEACH, FL
Past
November 30, 2012 - July 27, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SATELLITE BEACH, FL
Past
February 29, 2012 - November 19, 2012
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WEST MELBOURNE, FL
Past
November 13, 2009 - November 19, 2012
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WEST MELBOURNE, FL
Past
April 20, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
AKRON, OH
Past
June 11, 2007 - April 9, 2009
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
HUDSON, OH
Past
May 3, 2006 - March 27, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
AKRON, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OF
OXENFREE FINANCIAL
OXENFREE CAPITAL LLC | OXENFREE FINANCIAL
CRD#: 327105 / SEC#: 801-128275
RIA
Registered Investment Advisory firm - (7/6/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(7/10/2023)
IAR
Texas(7/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
OF
OXENFREE FINANCIAL
OXENFREE CAPITAL LLC | OXENFREE FINANCIAL
CRD#: 327105 / SEC#: 801-128275
RIA
Registered Investment Advisory firm - (7/6/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1900 S. Harbor City Blvd. Ste. 111, Melbourne, FL 32901-4725
Mailing Address
Phone number
(321) 722-7882
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,513 |
| AUM (Assets Under Management) | $ 168,352,562 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
