Philip S. Scott

SOUDERS FINANCIAL ADVISORS

Springfield, OH 45502

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CRD#: 2188614

Professional summary

Philip Steven Scott, who also goes by Phil Scott, Philip S Scott, is a registered financial advisor currently at SOUDERS FINANCIAL ADVISORS, LLC located in Springfield, Ohio and PRIVATE CLIENT SERVICES, LLC located in Cincinnati, Ohio.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Philip has worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phil Scott | Philip S Scott

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) STRATEGIC CAPITAL ADVISERS. COMMERCE POINTE, SUITE 245 - 20 S. LIMESTONE ST, SPRINGFIELD, OH. INVESTMENTS, INSURANCE. INVESTMENT ADVISOR, REGISTERED REPRESENTATIVE, INSURANCE AGENT. 160 HOURS/MO; 8 DURING TRADING HOURS. 2) B3 ACADEMY LLC. 4799 SULLIVAN RD, SPRINGFIELD, OH 44402. B3 ACADEMY-IS A SPORTS TRAINING, CONSULTING & COACHING ACADEMY FOR SELECT BASEBALL AND BASKETBALL ATHLETES. I AM OWNER, OPERATOR OF B3 ACADEMY. MY DUTIES INCLUDE COACHING, TRAINING AND DEVELOPMENT OF SELECT BASEBALL AND BASKETBALL ATHLETES. 20 HRS/MO; 0 DURING TRADING HRS. NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Steven Scott'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

August 25, 2019 - Present

SOUDERS FINANCIAL ADVISORS, LLC

Office #1: 20 S. Limestone Suite 245, Springfield, OH 45502

RIA

CRD#: 296780

Springfield, OH

Current

August 19, 2019 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 5968 Bridgetown Road, Cincinnati, OH 45248

RIA

CRD#: 120222

Cincinnati, OH

Past

July 31, 2012 - September 9, 2019

LPL FINANCIAL LLC

CRD#: 6413

SPRINGFIELD, OH

Past

July 12, 2012 - August 20, 2019

ADVANTAGE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 146236

SPRINGFIELD, OH

Past

August 23, 2006 - July 31, 2012

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SPRINGFIELD, OH

Past

June 22, 2006 - July 31, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

SPRINGFIELD, OH

Past

August 24, 2005 - June 19, 2006

NEW ENGLAND SECURITIES

RIA

CRD#: 615

COLUMBUS, OH

Past

August 5, 2005 - June 19, 2006

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

January 1, 2000 - July 21, 2005

CITISTREET FINANCIAL SERVICES LLC

RIA

CRD#: 107311

ALPHARETTA, GA

Past

May 4, 1993 - July 21, 2005

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

December 19, 1991 - April 30, 1993

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

December 19, 1991 - April 30, 1993

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

SOUDERS FINANCIAL ADVISORS, LLC

CRD#: 296780 / SEC#: 801-113263

RIA

Registered Investment Advisory firm - (5/21/2018 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.

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

Florida
(8/19/2019)

IAR

Florida
(9/16/2019)

Indiana
(8/19/2019)

Kentucky
(8/19/2019)

North Carolina
(8/19/2019)

Ohio
(8/19/2019)

IAR

Ohio
(8/25/2019)

Pennsylvania
(2/23/2023)

Tennessee
(8/19/2019)

Texas
(8/19/2019)

IAR

Texas
(6/5/2023)

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

Series 63

Date: 8/23/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/18/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SOUDERS FINANCIAL ADVISORS, LLC

CRD#: 296780 / SEC#: 801-113263

RIA

Registered Investment Advisory firm - (5/21/2018 Approved)

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Contact information

Main Address

5968 Bridgetown Road, Cincinnati, OH 45248

Mailing Address

Phone number

(513) 598-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUDERS FINANCIAL ADVISORS FORM ADV PART 2A (MARCH 2025) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,232
AUM (Assets Under Management)	$ 1,065,305,147

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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Firm Stability Insights

Philip S. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Steven Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

ADVANTAGE INVESTMENT MANAGEMENT, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

CITISTREET FINANCIAL SERVICES LLC

CITISTREET EQUITIES LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

SOUDERS FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/23/2002

SIE

Date: 10/1/2018

Series 6

Date: 12/18/1991

FINRA

Current Firm

SOUDERS FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUDERS FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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