Phillip L. Elliott

SUNBELT SECURITIES

Lexington, KY 40504

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CRD#: 1410115

Professional summary

Phillip Lee Elliott, who also goes by Phil Elliott, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Lexington, Kentucky.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Phillip has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phil Elliott

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) LexInvest Wealth Advisors (DBA): Investment related. 2365 Harrodsburg Rd, Ste B100, Lexington KY 40504. DBA under Sunbelt Securities, Inc. Registered Representative. DBA, Doing Business As. Start: 09/2019. Commissions through Sunbelt. 40 hours a week, during trading hours. 2) Investment Associates, LLC (OBA): Investment Related. 2365 Harrodsburg Rd, Ste B100, Lexington KY 40504. Office Leasing and maintaining office space and employing personnel for DBA LexInvest Wealth Advisors. Member. No relationship. Start: 07/2019. Rent liability for 2 years. 1 hours a week, during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Lee Elliott's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Phillip Lee Elliott's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 20, 2019 - Present

SUNBELT SECURITIES, INC.

Office #1: 2365 Harrodsburg Road, Suite B100, Lexington, KY 40504

RIA

CRD#: 42180

Lexington, KY

Current

September 17, 2019 - Present

SUNBELT SECURITIES, INC.

Office #1: 2365 Harrodsburg Road, Suite B100, Lexington, KY 40504

RIA

CRD#: 42180

Lexington, KY

Past

March 31, 2011 - January 8, 2019

LEXINGTON INVESTMENT COMPANY, INC.

RIA

CRD#: 27393

LEXINGTON, KY

Past

October 4, 2005 - September 26, 2019

LEXINGTON INVESTMENT COMPANY, INC.

CRD#: 27393

LEXINGTON, KY

Past

July 6, 2005 - August 11, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

LEXINGTON, KY

Past

July 6, 2005 - August 11, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

December 16, 1991 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

LEXINGTON, KY

Past

March 15, 1989 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

November 16, 1987 - February 22, 1989

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

February 2, 1987 - November 20, 1987

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

September 25, 1985 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

SUNBELT SECURITIES, INC.

SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES

CRD#: 42180 / SEC#: 801-71479, 8-49748

RIA

Registered Investment Advisory firm - SEC (6/24/2010 Approved)

Kentucky

Registered Investment Advisory firm - SEC (7/16/2010 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/16/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(10/1/2019)

Colorado
(9/30/2019)

Florida
(9/23/2019)

Georgia
(10/2/2019)

Illinois
(10/2/2019)

Indiana
(6/18/2020)

Kentucky
(9/20/2019)

IAR

Kentucky
(9/20/2019)

New York
(12/17/2019)

North Carolina
(6/19/2020)

Ohio
(9/26/2019)

Oklahoma
(9/25/2019)

Tennessee
(10/24/2019)

Virginia
(9/26/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/27/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/4/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SUNBELT SECURITIES, INC.

SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES

CRD#: 42180 / SEC#: 801-71479, 8-49748

RIA

Registered Investment Advisory firm - SEC (6/24/2010 Approved)

Kentucky

Registered Investment Advisory firm - SEC (7/16/2010 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/16/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

2700 Post Oak Blvd Ste 1700, Houston, TX 77056

Mailing Address

2700 Post Oak Blvd Ste 1700, Houston, TX 77056

Phone number

(713) 965-9510

Established

Texas since 10/20/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (39 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SUNBELT RD PROGRAM WRAP FEE BROCHURE (3/31/2025)

SUNBELT_ADV PART 2A_033125 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
BUCKLEY, THOMAS FRANCIS	FINANCIAL OPERATIONS PRINCIPAL	1563361
MILLER, RAYMOND JOSEPH	OFFICE MANAGER/COMPLIANCE	856248
SMETEK, DAVID ANTHONY	PRESIDENT / SECRETARY	1246996
SMETEK, PATRICK JOSEPH	REGISTERED OPTIONS PRINICPAL	1052695
SMETEK, PATRICK JOSEPH	CHIEF COMPLIANCE OFFICER	1052695
YOUNG, DAGNY WRIGHT	MUNICIPAL SECURITIES PRINCIPAL	2050615

Regulatory assets under management

Total Number of Accounts	5,355
AUM (Assets Under Management)	$ 2,024,286,577

Disclosures

Regulatory Event

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

Phillip L. Elliott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Lee Elliott's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Phillip Lee Elliott's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUNBELT SECURITIES, INC.

LEXINGTON INVESTMENT COMPANY, INC.

LEXINGTON INVESTMENT COMPANY, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

FIFTH THIRD SECURITIES, INC.

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

SUNBELT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/1992

Series 63

Date: 12/27/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1985

Series 24

Date: 9/4/1992

FINRA

Current Firm

SUNBELT SECURITIES, INC.

Contact information

SEC notice filing (39 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SUNBELT SECURITIES, INC.

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