Phillip A. Fresen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Phillip Alan Fresen was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1986. Phillip had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2010 - December 31, 2023
BRIDGE CAPITAL ASSOCIATES, INC.
June 2, 2008 - May 15, 2009
MORGAN JOSEPH TRIARTISAN CAPITAL LLC
May 17, 2006 - May 2, 2008
STARLIGHT FUNDING INVESTMENTS, LLC
November 28, 2001 - February 23, 2005
GRIDLEY & COMPANY LLC
July 31, 2001 - November 29, 2001
NEEDHAM & COMPANY, LLC
April 30, 2001 - July 26, 2001
ABN AMRO INCORPORATED
April 12, 1995 - April 30, 2001
ABN AMRO SECURITIES LLC
August 22, 1994 - January 16, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 20, 1987 - December 21, 1989
SUSSEX FINANCIAL GROUP, INC.
June 25, 1986 - June 16, 1987
MED-VEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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