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Philip Charles Fratto

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Information

Other Names: Phil Fratto
Firm:
Additional Firm:
Type: Dual Registration
Description

Philip Fratto is a financial professional at Royal Alliance Associates, Inc., a broker-dealer with over 1,900 registered representatives nationwide. Philip is also registered with Investment Advisors Asset Management, LLC, a $417M RIA based in Downtown Historic District, PA. Philip has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Royal Alliance Associates 8 years Nov 2006 - Present
Investment Advisors Asset Management, LLC 10 years, 10 months Jan 2004 - Present
Investment Advisors & Consultants, Inc. 15 years, 2 months Sep 1991 - Nov 2006
Harbour Master Diversified Financial Services, Inc. 32 years, 1 month Oct 1982 - Present
Exams
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 Guides

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Philip Charles Fratto has not answered any questions on Financial Q&A.

Top Guides

Philip Charles Fratto has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
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

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
09/24/2014
*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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees