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Phillip Elliott

Sunbelt Securities
40 Years of Experience
Lexington, KY
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Phillip Elliott is a registered investment advisor at Sunbelt Securities, based in Lexington, KY, with 40 years of industry experience. Phillip is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 6,241 clients with $2.6B in assets under management.

Sunbelt Securities
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
63 advisors
Number of Clients
6,241 clients
Average Client Portfolio
$423K average
Assets Under Management
$2.6B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum fee is 2.50% of assets under management, charged monthly. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2365 Harrodsburg Road, Suite B100, Lexington, KY, 40504

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
September 2006
Final
Employment Separation After Allegations
July 2005
Customer Dispute
April 2005
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Phillip is a Registered Representative under Sunbelt Securities, Inc. through his DBA, LexInvest Wealth Advisors, dedicating full-time hours to this. He is also a member of Investment Associates, LLC, which leases and maintains office space for LexInvest Wealth Advisors, dedicating minimal time to this.

Employment History
Current Registrations
Sunbelt Securities
September 2019 - Present · 7 yrs 1 mo
Sunbelt Securities, INC.Broker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Lexington Investment Company, INC.
March 2011 - January 2019 · 7 yrs 10 mos
Lexington Investment Company, INC.Broker
October 2005 - September 2019 · 13 yrs 11 mos
Chase Investment Services CORP.
July 2005 - August 2005 · 1 mo
Chase Investment Services CORP.Broker
July 2005 - August 2005 · 1 mo
Banc One Securities Corporation
December 1991 - July 2005 · 13 yrs 7 mos
Banc One Securities CorporationBroker
March 1989 - July 2005 · 16 yrs 4 mos
The Ohio CompanyBroker
November 1987 - February 1989 · 1 yr 3 mos
Sherwood Capital, INC.Broker
February 1987 - November 1987 · 9 mos
First Jersey Securities, INC.Broker
September 1985 - January 1987 · 1 yr 4 mos
State Registrations14 states
CACOFLGAILINKYNCNYOHOKTNVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Phillip Elliott - Financial Advisor | TrueAdvisor