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CARLTON SCOTT PHILLIPS
CARLTON SCOT PHILLIPS, SCOTT PHILLIPS
CRD#: 2358429
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Investment Adviser
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Previous Broker
ASSET INVESTMENT SOLUTIONS, LLCCRD#: 293897 FORT MILL, SC
Registration History
19952000200520102015202020252 FIRMS2004 - 2004 (<1 year)IAASSET INVESTMENT SOLUTIONS, LLC (CRD# 293897)2018 - Present (6 years)BAXA ADVISORS, LLC (CRD# 6627)2007 - 2008 (1 year)BALLSTATE FINANCIAL SERVICES, LLC (CRD# 18272)2006 - 2007 (<1 year)BNYLIFE SECURITIES INC. (CRD# 5167)2005 - 2006 (<1 year)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2004 - 2005 (<1 year)BSUNSET FINANCIAL SERVICES, INC. (CRD# 3538)1999 - 2003 (4 years)BNATHAN & LEWIS SECURITIES, INC. (CRD# 8503)1998 - 1999 (<1 year)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)1994 - 1998 (4 years)BALLMERICA INVESTMENTS, INC. (CRD# 3960)1993 - 1994 (1 year)IAMOTIV8 INVESTMENTS LLC (CRD# 285560)2017 - 2018 (1 year)IABROOKSTONE CAPITAL MANAGEMENT LLC (CRD# 141413)2015 - 2016 (1 year)IABROKERS INTERNATIONAL FINANCIA... (CRD# 139627)2012 - 2013 (1 year)IABROOKSTONE CAPITAL MANAGEMENT LLC (CRD# 141413)2010 - 2012 (1 year)
Disclosure(s)
View By:
7/6/2006
Customer Dispute
Settled
7/6/2006
Regulatory
Final
7/6/2006
Regulatory
Final
License(s)

State Registrations

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North Carolina 6/3/2021

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South Carolina 5/18/2018

Current Registration(s)
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ASSET INVESTMENT SOLUTIONS, LLC (CRD#:293897)
FORT MILL, SC
Registered with this firm since 5/18/2018

Previous Registration(s)
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08/03/2017 - 12/11/2018 MOTIV8 INVESTMENTS LLC (CRD#:285560) fort mill, SC
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06/01/2015 - 07/13/2016 BROOKSTONE CAPITAL MANAGEMENT LLC (CRD#:141413) CHARLOTTE, NC
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09/03/2012 - 12/02/2013 BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC (CRD#:139627) CHARLOTTE, NC
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05/17/2010 - 04/13/2012 BROOKSTONE CAPITAL MANAGEMENT LLC (CRD#:141413) CHARLOTTE, NC
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06/22/2007 - 06/19/2008 AXA ADVISORS, LLC (CRD#:6627) SCOTTSDALE, AZ
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10/24/2006 - 06/28/2007 ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272) SCOTTSDALE, AZ
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04/19/2005 - 03/02/2006 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
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11/17/2004 - 04/06/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
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04/01/2004 - 12/09/2004 ING FINANCIAL PARTNERS, INC. (CRD#:2882) WINDSOR, CT
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01/02/2004 - 03/23/2004 INVESTORS SECURITY COMPANY, INC. (CRD#:2331) SUFFOLK, VA
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06/04/1999 - 10/23/2003 SUNSET FINANCIAL SERVICES, INC. (CRD#:3538) KANSAS CITY, MO
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12/16/1998 - 06/04/1999 NATHAN & LEWIS SECURITIES, INC. (CRD#:8503) NEW YORK, NY
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08/06/1994 - 12/14/1998 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWARK, DE
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07/08/1993 - 07/25/1994 ALLMERICA INVESTMENTS, INC. (CRD#:3960) WORCESTER, MA
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.