PW
Phillip A. Wallace
ARAGON CAPITAL LLC
Fort Lauderdale, FL 33301
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CRD#: 5868833
PW
Professional summary
Phillip A Wallace is a registered financial advisor currently at ARAGON CAPITAL LLC located in Fort Lauderdale, Florida.
Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Phillip has worked at 2 firms and has passed the Series 65 exam.
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.
1) PAW CONSULTING - 08-2008 TO PRESENT - PRESIDENT- NOT INVESTMENT RELATED - OPERATE DURING TRADING HOURS. 2) SENTRIX FINANCIAL SERVICES - 01/2010 TO PRESENT - MORTGAGE LOAN ORIGINATOR - OPERATE DURING TRADING HOURS - 10 - 20 HOURS PER WEEK - NOT INVESTMENT RELATED. 3) Business Loan broker; Non Investment Related; Location: 11021 Pine Lodge Trail Davie FL 33328; Description: Broker working capital loans and lines of credit, Equipment financing, SBA Loans, Merchant Cash Advances and other facilities; Responsibilities Duties: Obtain financing statements and bank statement to evaluate financing condition and qualification for various loans and lines of credit. Work with brokers and lending partners to obtain approval and funding of facilities; Start date: 2023-06-01; Hours per month devoted to business during trading hours: 4; Hours per month devoted to business outside trading hours: 3; Percentage of total yearly compensation expected to be derived from the business: 20.
CRS (Client Relationship Summary) - RIA
Click below to view Phillip A Wallace'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
February 19, 2020 - Present
ARAGON CAPITAL LLC
Office #1: 101 Ne 3rd Ave Suite 1500, Fort Lauderdale, FL 33301RIA
CRD#: 166958
Fort Lauderdale, FL
Past
February 9, 2015 - December 13, 2017
INNOVATION PARTNERS LLC
RIA
CRD#: 146344
DAVIE, FL
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".
AC
ARAGON CAPITAL LLC
ARAGON CAPITAL LLC
CRD#: 166958 / SEC#: 801-121982
RIA
Registered Investment Advisory firm - (7/30/2021 Approved)Florida
Registered Investment Advisory firm - (8/12/2021 Terminated)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.Highlighted states indicate IAR registrations
IAR
Florida(2/19/2020)
Current Firm
AC
ARAGON CAPITAL LLC
ARAGON CAPITAL LLC
CRD#: 166958 / SEC#: 801-121982
RIA
Registered Investment Advisory firm - (7/30/2021 Approved)Florida
Registered Investment Advisory firm - (8/12/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
101 Ne 3rd Ave Suite 1500, Fort Lauderdale, FL 33301
Mailing Address
Phone number
(786) 529-6540
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,066 |
| AUM (Assets Under Management) | $ 285,018,221 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ARAGON CAPITAL LLC
CRD#: 166958Fort Lauderdale, FL 33301TRUST BUT VERIFY
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