Philip S. D'agostino
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 Steven D'agostino, CFP®, who also goes by Steven Philip D'agostino, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2005. Philip had worked at 4 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2016 - September 11, 2024
VERATIS ADVISORS, INC.
October 6, 2015 - December 31, 2016
SYNOBIS ADVISORS, INC.
June 2, 2005 - November 3, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 16, 2005 - November 3, 2005
IDS LIFE INSURANCE COMPANY
May 16, 2005 - November 3, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
VERATIS ADVISORS, INC.
CRD#: 117892 / SEC#: 801-60849
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
VERATIS ADVISORS, INC.
CRD#: 117892 / SEC#: 801-60849
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 431 |
| AUM (Assets Under Management) | $ 4,478,828,516 |
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.
