PF
Pasquale W. Frattalone
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Hugo, MN
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CRD#: 3117218
PF
Professional summary
Pasquale Weaver Frattalone, who also goes by Pasquale Joseph Frattalone, Pat Frattalone, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Hugo, Minnesota and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Hugo, Minnesota.
Pasquale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Pasquale has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pasquale Joseph Frattalone | Pat Frattalone
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.
1) PASQUALE W FRATTALONE 371 COMMERCE CT VADNAIS HTS, MN 55127. BEGAN 7/18/11 AS SOLE PROPRIETOR AS AN INDEPENDENT INSURANCE AGENT THAT SELLS AND SERVICES HEALTH AND LIFE INSURANCE, LONG TERM CARE AND DISABILITY INSURANCE. NOT INVESTMENT RELATED. DEVOTES 17 HRS/WK. 11 HRS DURING TRADING. 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) FIT FINANCIAL SERVICES, LLC 371 COMMERCE CT VADNAIS HTS, MN 55127. BEGAN 7/18/2011 AS FIT FINANCIAL SERVICES, LLC IS THE NAME IN WHICH I OPERATE UNDER. INVESTMENT RELATED. DEVOTES 50 HRS/WK. 50 HOURS DURING TRADING. 4) MN CATHOLIC CREDIT UNION, ST JOHN THE EVANGELIST BRANCH, 400 LITTLE CANADA RD, E, LITTLE CANADA, MN, SUPERVISORY COMMITTEE, 09/28/20, NIR, 2/MO- 1/TRADING 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING 07/18/2011
CRS (Client Relationship Summary) - RIA
Click below to view Pasquale Weaver Frattalone'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®
NoneExperience
Current
January 17, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Hugo, MN
Current
July 18, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Hugo, MN
Past
July 3, 2007 - July 19, 2011
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
VADNAIS HEIGHTS, MN
Past
August 31, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 31, 2004 - July 11, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
NEW BRIGHTON, MN
Past
February 6, 2004 - August 2, 2004
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
April 12, 2002 - March 5, 2004
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
February 2, 2000 - February 6, 2004
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, 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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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(7/18/2011)
RR
Arkansas(7/18/2011)
RR
California(7/18/2011)
RR
Florida(11/28/2023)
RR
Iowa(5/14/2012)
RR
Minnesota(7/18/2011)
IAR
Minnesota(1/17/2014)
RR
Montana(12/1/2021)
RR
Nevada(7/24/2017)
RR
Texas(7/18/2011)
IAR
Texas(8/18/2016)
RR
Wisconsin(7/18/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/29/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
