Carlton S. Phillips

ASSET INVESTMENT SOLUTIONS

Fort Mill, SC

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CRD#: 2358429

Professional summary

Carlton Scott Phillips, who also goes by Carlton Scot Phillips, Scott Phillips, is a registered financial advisor currently at ASSET INVESTMENT SOLUTIONS, LLC located in Fort Mill, South Carolina.

Carlton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Carlton has worked at 14 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlton Scot Phillips | Scott 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlton Scott 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®

None

Experience

Current

May 18, 2018 - Present

ASSET INVESTMENT SOLUTIONS, LLC

RIA

CRD#: 293897

Fort Mill, SC

Past

August 3, 2017 - December 11, 2018

MOTIV8 INVESTMENTS LLC

RIA

CRD#: 285560

fort mill, SC

Past

June 1, 2015 - July 13, 2016

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

CHARLOTTE, NC

Past

September 3, 2012 - December 2, 2013

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

CHARLOTTE, NC

Past

May 17, 2010 - April 13, 2012

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

CHARLOTTE, NC

Past

June 22, 2007 - June 19, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

SCOTTSDALE, AZ

Past

October 24, 2006 - June 28, 2007

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

SCOTTSDALE, AZ

Past

April 19, 2005 - March 2, 2006

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

November 17, 2004 - April 6, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 1, 2004 - December 9, 2004

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

January 2, 2004 - March 23, 2004

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

SUFFOLK, VA

Past

June 4, 1999 - October 23, 2003

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

December 16, 1998 - June 4, 1999

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

August 6, 1994 - December 14, 1998

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

July 8, 1993 - July 25, 1994

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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

North Carolina
(6/3/2021)

IAR

South Carolina
(5/18/2018)

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: 12/23/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/2/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASSET INVESTMENT SOLUTIONS, LLC

CRD#: 293897 / SEC#:

North Carolina

Registered Investment Advisory firm - (5/24/2021 Approved)

South Carolina

Registered Investment Advisory firm - (5/18/2018 Approved)

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Contact information

Main Address

Fort Mill, SC

Mailing Address

Phone number

(704) 887-3419

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Carlton S. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlton Scott Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSET INVESTMENT SOLUTIONS, LLC

MOTIV8 INVESTMENTS LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

INTEGRITY ALLIANCE, LLC.

BROOKSTONE CAPITAL MANAGEMENT LLC

EQUITABLE ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

NYLIFE SECURITIES LLC

SUNAMERICA SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

INVESTORS SECURITY COMPANY, INC.

SUNSET FINANCIAL SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

VERAVEST INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/2009

Series 63

Date: 7/15/1993

Series 6

Date: 7/2/1993

Current Firm

ASSET INVESTMENT SOLUTIONS, LLC

Contact information

Documents

Red Flags

Company Information

ASSET INVESTMENT SOLUTIONS, LLC

TRUST BUT VERIFY

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