MF
Marc V. Fragola
KESTRA ADVISORY SERVICES
SOUTH BURLINGTON, VT 05403
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CRD#: 1751871
MF
Professional summary
Marc Vincent Fragola, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in South Burlington, Vermont and KESTRA INVESTMENT SERVICES, LLC located in South Burlington, Vermont.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Marc has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: NFP Corporate Services (NY), LLC Investment Related: Yes Address: 620 Hinesburg Road South Burlington VT 05403 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: CFP Start Date: 4/1/2003 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: All Financial Planning and Investment Advisory duties
CRS (Client Relationship Summary) - RIA
Click below to view Marc Vincent Fragola's 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®
CFP®
Start date: 2006
Experience
Current
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 620 Hinesburg Rd Suite 200, South Burlington, VT 05403RIA
CRD#: 283330
SOUTH BURLINGTON, VT
Current
April 1, 2003 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 620 Hinesburg Rd. Suite 200, South Burlington, VT 05403BD
CRD#: 42046
South Burlington, VT
Past
April 9, 2003 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SOUTH BURLINGTON, VT
Past
February 26, 1998 - March 31, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BURLINGTON, VT
Past
September 12, 1997 - March 31, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(1/6/2025)
RR
California(4/1/2003)
RR
Colorado(1/2/2004)
RR
Connecticut(4/28/2009)
RR
Florida(6/6/2016)
RR
Illinois(4/1/2003)
RR
Maine(6/14/2010)
RR
Maryland(1/10/2025)
RR
Massachusetts(4/1/2003)
RR
New Hampshire(10/26/2018)
RR
New York(4/1/2003)
RR
North Carolina(4/30/2021)
RR
Oklahoma(10/2/2020)
RR
Rhode Island(3/1/2012)
RR
South Carolina(9/9/2015)
RR
Vermont(4/9/2003)
IAR
Vermont(4/19/2016)
RR
Virginia(10/26/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
