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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

PHILIP STEVEN SCOTT

Advisor at SOUDERS FINANCIAL ADVISORS, LLC

Springfield, OH | CINCINNATI, OH

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Search this name across graphsid dfx:ria:97ec4244-e5e9-0c6b-bb62-b847e7dde0f9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SOUDERS FINANCIAL ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63
First exam: Aug 23, 2002
First registration: Jan 1, 2000
Dual registered: yes, broker-dealer
Other names: PHILIP S SCOTT|PHIL SCOTT|PHILIP STEVEN SCOTT
IAPD individual key: 2188614

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SOUDERS FINANCIAL ADVISORS, LLC	Independent wealth	Aug 25, 2019	n/a	yes	CINCINNATI, OH\|Springfield, OH	Current employment
ADVANTAGE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 12, 2012	Aug 20, 2019	no	SPRINGFIELD, OH	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Aug 23, 2006	Jul 31, 2012	no	LOUISVILLE, KY\|SPRINGFIELD, OH\|DUBLIN, OH	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Aug 24, 2005	Jun 19, 2006	no	COLUMBUS, OH	Previous registration
METLIFE INVESTMENT FUND SERVICES LLC	n/a	Jan 1, 2000	Jul 21, 2005	no	ALPHARETTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVANTAGE INVESTMENT MANAGEMENT, LLC	SOUDERS FINANCIAL ADVISORS, LLC	Aug 20, 2019	Aug 25, 2019	5	Firm change	RIA to RIA
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	ADVANTAGE INVESTMENT MANAGEMENT, LLC	Jul 31, 2012	Jul 12, 2012	-19	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Jun 19, 2006	Aug 23, 2006	65	Firm change	Other
METLIFE INVESTMENT FUND SERVICES LLC	NEW ENGLAND SECURITIES CORPORATION	Jul 21, 2005	Aug 24, 2005	34	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
146236:296780:OH:2019-08-20	Aug 20, 2019	Aug 25, 2019	SPRINGFIELD, OH	Firm change

Relationships

Registered with (5)

→ SOUDERS FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Aug 25, 2019 to presentfactForm ADV
→ ADVANTAGE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 12, 2012 to Aug 20, 2019factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Aug 23, 2006 to Jul 31, 2012factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Aug 24, 2005 to Jun 19, 2006factForm ADV
→ METLIFE INVESTMENT FUND SERVICES LLCRegistered adviserregistration: previous registration
Jan 1, 2000 to Jul 21, 2005factForm ADV

Dated events

No dated event names this entity yet.