Philip M. Fragasso
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.
Philip Michael Fragasso, who also goes by Phillip Michael Fragasso, Philip Michael Fragoso, Philip Michael Fragosso, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1997. Philip had worked at 5 firms and has passed the Series 65, Series 63, 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
June 20, 2017 - December 31, 2019
KASTEL CAPITAL ADVISORS, LLC
January 8, 2008 - October 30, 2012
I-PENSION LLC
July 15, 2004 - August 20, 2007
GUGGENHEIM DISTRIBUTORS, LLC
August 30, 1999 - June 2, 2004
BOFA DISTRIBUTORS, INC.
November 3, 1997 - September 8, 1999
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
KASTEL CAPITAL ADVISORS, LLC
CRD#: 226520 / SEC#: 801-117355
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
KASTEL CAPITAL ADVISORS, LLC
CRD#: 226520 / SEC#: 801-117355
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 245 |
| AUM (Assets Under Management) | $ 164,571,865 |
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.
