SP
Scott D. Phillips
CENTAURUS FINANCIAL
Salt Lake City, UT
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CRD#: 1311907
SP
Professional summary
Scott Douglas Phillips is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Salt Lake City, Utah.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Scott has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. ESTATE PLANNING TEAM, NON-INVESTMENT RELATED, 45110 CLUB DRIVE, SUITE B, INDIAN WELLS, CA 92210, MARKETING THE DEFERRED SALES TRUST TO POTENTIAL CLIENTS, MEMBER, SINCE 3/5/2017, DEVOTED TIME IS 8 HOURS A MONTH. 2. SCOTT D. PHILLIPS INDIVIDUALLY, OWNER, SINCE 12/1/2000, SALT LAKE CITY, UT 84106, PROVIDE CASH FLOW PLANNING, FIND EQUIPMENT LEASING AND WORKING CAPITAL FINANCING, REVIEW BANK ACCOUNTS DAILY, PROVIDE SOUNDING BOARD FOR EXPANSION, NEGOTIATE LEASES, BUSINESS TAX PLANNING, EMPLOYEE BENEFIT PLANNING, RETIREMENT PLANNING, BUY/SELL PLANNING, AND BUSINESS SUCCESSION PLANNING, DEVOTED TIME IS 15 HRS A MONTH, NON-INVESTMENT RELATED. 3. SCOTT D. PHILLIPS INDIVIDUALLY, OWNER, SINCE 9/12/1975, SALT LAKE CITY, UT 84106, PROVIDE OUTSIDE INSURANCE SERVICES FOR GROUP DI, AND LIFE AND INDIVIDUAL AND GROUP MEDICAL AND DENTAL INSURANCE, DEVOTED TIME IS 2 HRS A MONTH, NON-INVESTMENT RELATED. 4. TEAM BASED MODEL CONSULTANT POSITION: Team Based Model Consultant NATURE: Through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses. I also form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction strategies. I may receive a portion of the fees paid to these professionals. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 8 START DATE: 01/18/2023 ADDRESS: Salt Lake City UT 84106, United States DESCRIPTION: Through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses. I also form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction strategies. I may receive a portion of the fees paid to these professionals. 5. SDP PERSONALIZED PLANNING POSITION: Financial Advisor & Team Based Model Consultant NATURE: DBA for branding purposes INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/27/2020 ADDRESS: 2245 S Preston St., Salt Lake City UT 84106, United States DESCRIPTION: DBA for branding purposes 6. PHILLIPS FINANCIAL GROUP, INC. POSITION: Team Based Model Consultant NATURE: Through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses. I also form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction strategies. I may receive a portion of the fees paid to these professionals. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 8 START DATE: 01/18/2023 ADDRESS: Salt Lake City UT 84106, United States DESCRIPTION: Through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses. I also form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction strategies. I may receive a portion of the fees paid to these professionals.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Douglas Phillips's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Douglas 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
January 17, 2007 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Salt Lake City, UT
Current
January 4, 2007 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Salt Lake City, UT
Past
June 4, 2004 - August 17, 2004
W.H. STUART INVESTMENT ADVISORY CORPORATION
RIA
CRD#: 127882
NORCROSS, GA
Past
May 3, 2004 - November 30, 2006
STUART SECURITIES CORP.
BD
CRD#: 47076
NORCROSS, GA
Past
January 1, 2004 - June 1, 2004
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
DES MOINES, IA
Past
January 1, 2004 - June 1, 2004
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
September 19, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
RIA
CRD#: 1703
SALT LAKE CITY, UT
Past
March 1, 2001 - August 30, 2002
VESTAX SECURITIES CORPORATION
RIA
CRD#: 10332
SALT LAKE CITY, UT
Past
January 25, 2001 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
March 15, 1990 - April 20, 1994
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
November 19, 1989 - March 29, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 12, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
February 12, 1985 - October 1, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
February 12, 1985 - October 1, 1999
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
October 26, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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".
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(10/8/2025)
RR
Arkansas(6/23/2025)
RR
California(8/28/2024)
IAR
California(8/28/2024)
RR
Colorado(1/11/2007)
IAR
Colorado(1/13/2011)
RR
Florida(6/30/2022)
IAR
Florida(6/30/2022)
RR
Georgia(11/13/2023)
RR
Idaho(11/13/2023)
RR
Minnesota(6/7/2023)
IAR
Minnesota(6/27/2023)
RR
Nevada(6/28/2022)
IAR
Nevada(6/29/2022)
RR
Oregon(11/22/2023)
RR
Utah(1/8/2007)
IAR
Utah(1/17/2007)
RR
Virginia(6/20/2023)
RR
Washington(8/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2300 E. Katella Avenue Suite 200, Anaheim, CA 92806
Mailing Address
2300 E. Katella Avenue Suite #200, Anaheim, CA 92806
Phone number
(714) 456-1790
Established
California since 08/27/1992
Firm type
Corporation
Fiscal year end
April
Firm Size
Large
# of Employees
580
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
