at


Investment Adviser Firm Summary

FRAGASSO FINANCIAL ADVISORS INC. (CRD# 123255 / SEC# 801-77097)

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/12/2012
Pennsylvania Terminated 09/19/2012

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 03/28/2013
California 09/12/2012
Connecticut 09/12/2012
Florida 09/12/2012
Georgia 09/12/2012
Maryland 09/12/2012
Massachusetts 09/12/2012
Michigan 05/09/2014
New Jersey 09/18/2012
New York 09/12/2012
North Carolina 09/12/2012
Ohio 09/12/2012
Pennsylvania 09/12/2012
South Carolina 09/12/2012
Texas 09/12/2012
Virginia 09/12/2012
West Virginia 01/30/2015

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser