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Philip Charles Fratto

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Other Names: Phil Fratto
Additional Firm:
Type: SEC and FINRA Registered

Philip Fratto is a financial professional at Royal Alliance Associates, Inc., a broker-dealer with over 2,100 registered representatives nationwide. Philip is also registered with Investment Advisors Asset Management, LLC, a $458M RIA based in Downtown Historic District, PA. Philip has held an industry securities registration for 33 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Royal Alliance Associates 9 years Nov 2006 - Present
Investment Advisors Asset Management, LLC 11 years, 11 months Jan 2004 - Present
Investment Advisors & Consultants, Inc. 15 years, 2 months Sep 1991 - Nov 2006
Harbour Master Diversified Financial Services, Inc. 33 years, 2 months Oct 1982 - Present
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 02/19/2004
Uniform Securities Agent State Law ExaminationSeries 63 07/18/1984
Direct Participation Programs Representative ExaminationSeries 22 08/26/1983
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 12/04/1981

Answers and Articles

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Top Articles

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Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees