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Phillip N. Roberts

EQUITY SHIFT
Raleigh, NC 27601
Some features on this profile are disabled
CRD#: 6182908
PR

Professional summary

Phillip Nash Roberts is a registered financial professional currently at EQUITY SHIFT, INC. located in Raleigh, North Carolina.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2014. Phillip has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Phillip Nash Roberts'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, 2025 - Present

EQUITY SHIFT, INC.

Office #1: 434 Fayetteveille Street Suite 1150, Raleigh, NC 27601
BD
CRD#: 309841
Raleigh, NC
Past

September 11, 2019 - July 2, 2025

CAROFIN, LLC

BD
CRD#: 298717
Durham, NC
Past

February 19, 2014 - December 31, 2019

CAROLINA FINANCIAL SECURITIES, LLC

BD
CRD#: 41970
Raleigh, NC

State Registrations and Notice Filings

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

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
North Carolina
(9/20/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/12/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EQUITY SHIFT, INC.
EQUITY SHIFT | EQUITY SHIFT, INC.

CRD#: 309841 / SEC#: , 8-70550

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
434 Fayetteville Street Suite 1150, Raleigh, NC 27601
Mailing Address
434 Fayetteville Street Suite 1150, Raleigh, NC 27601
Phone number
(919) 500-7894
Established
Delaware since 02/04/2019
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EQUITY SHIFT HOLDINGS, INC.OWNER
DUCKETT, WILLIAM GARRISONCHIEF OPERATIONS OFFICER, CO-CHIEF COMPLIANCE OFFICER AND SECRETARY7270660
GORDON, THOMAS MARSHALL IIICHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE REPRESENTATIVE AND CHAIRPERSON OF THE BOARD7270771
PORTWOOD, WILLIAM BOYCEFINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER AND CO-CHIEF COMPLIANCE OFFICER4853700

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.

Company Information

EQUITY SHIFT, INC.

CRD#: 309841Raleigh, NC 27601

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