Scott W. Phillips

CRD#: 1156373

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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Scott William Phillips was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

ASSOCIATED BOND BROKERS, INC.

CRD#: 32114

DALLAS, TX

Past

July 19, 1990 - May 25, 1993

ACS MUNICIPAL BROKERS, INC.

CRD#: 26504

Past

January 13, 1987 - June 5, 1990

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605

JERSEY CITY, NJ

Past

March 23, 1985 - January 1, 1987

G.I.M.B. MUNICIPAL SECURITIES BROKER

CRD#: 16016

Past

September 21, 1983 - March 5, 1985

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

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".

SERVICE ACADEMY CAPITAL MANAGEMENT LLC

CRD#: 226628 / SEC#: 801-112843

RIA

Registered Investment Advisory firm - (4/16/2018 Approved)

California

Registered Investment Advisory firm - (5/25/2018 Terminated)

Florida

Registered Investment Advisory firm - (4/25/2018 Terminated)

Illinois

Registered Investment Advisory firm - (4/19/2018 Terminated)

New Mexico

Registered Investment Advisory firm - (4/25/2018 Terminated)

New York

Registered Investment Advisory firm - (4/25/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/25/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/23/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/15/1990

Municipal Securities Principal Examination

Current Firm

SERVICE ACADEMY CAPITAL MANAGEMENT LLC

CRD#: 226628 / SEC#: 801-112843

RIA

Registered Investment Advisory firm - (4/16/2018 Approved)

California

Registered Investment Advisory firm - (5/25/2018 Terminated)

Florida

Registered Investment Advisory firm - (4/25/2018 Terminated)

Illinois

Registered Investment Advisory firm - (4/19/2018 Terminated)

New Mexico

Registered Investment Advisory firm - (4/25/2018 Terminated)

New York

Registered Investment Advisory firm - (4/25/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/25/2018 Terminated)

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Contact information

Main Address

3838 Oak Lawn Ave Suite 1000, Dallas, TX 75219

Mailing Address

Phone number

(424) 835-4147

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SERVICE ACADEMY CAPITAL MANAGEMENT LLC (1/31/2026)

Regulatory assets under management

Total Number of Accounts	304
AUM (Assets Under Management)	$ 733,956,151

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.

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Advisor Monitoring

Firm Stability Insights

Scott W. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST DALLAS SECURITIES INCORPORATED

HODGES CAPITAL MANAGEMENT INC

FIRST DALLAS SECURITIES INCORPORATED

ASSOCIATED BOND BROKERS, INC.

ACS MUNICIPAL BROKERS, INC.

R.W. SMITH & ASSOCIATES, LLC

G.I.M.B. MUNICIPAL SECURITIES BROKER

RAUSCHER PIERCE REFSNES, INC.

Primary Firm SEC Registration

SERVICE ACADEMY CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/2018

Series 63

Date: 2/12/1981

Series 7

Date: 9/17/1983

Series 24

Date: 5/23/1996

Series 53

Date: 5/15/1990

Current Firm

SERVICE ACADEMY CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SERVICE ACADEMY CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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