PA
Philip R. Ashe
KESTRA ADVISORY SERVICES
Canandaigua, NY
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CRD#: 6013765
PA
Professional summary
Philip Ryan Ashe, who also goes by Phil Ashe, Philip Ashe, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Canandaigua, New York and KESTRA INVESTMENT SERVICES, LLC located in Rochester, New York.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Philip has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phil Ashe | Philip Ashe
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: REGENT FINANCIAL GROUP, LLC POS: Financial Advisor NOB: Insurance INV REL: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 132 START DATE: 02/03/2014 ADDRESS: 777 Canal View Blvd. Suite 800, Rochester NY 14623 DESC: Duties of a Registered Representative Business Name: PHILIP R. ASHE CONSULTING POS: Consultant NOB: Consulting INV REL: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 03/01/2003 ADDRESS: 3580 MIDDLE CHESHIRE RD, Canandaigua NY 14424 DESC: Provide business consulting to independents including: - business and market research - forecasting - business plan development -give educational seminars -Conduct private sessions with clients to understand their needs and obtain their SS info and analyze data to develop strategies Business Name: KESTRA ADVISORY SERVICES, LLC POS: Investment Advisor Representative NOB: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 132 START DATE: 02/04/2014 ADDRESS: 5707 Southwest Parkway Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: Investment advisory services
CRS (Client Relationship Summary) - RIA
Click below to view Philip Ryan Ashe'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
June 22, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 777 Canal View Blvd Suite 800, Rochester, NY 14623RIA
CRD#: 283330
Canandaigua, NY
Current
February 10, 2014 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 777 Canal View Blvd Suite 800, Rochester, NY 14623BD
CRD#: 42046
Rochester, NY
Past
June 5, 2012 - January 8, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROCHESTER, 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
Florida(2/10/2014)
RR
Massachusetts(2/10/2014)
RR
New York(2/10/2014)
IAR
New York(6/22/2021)
Exams
State Security Law 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.
