Phillip Yargeau
Phillip Yargeau is a registered investment advisor at Ashton Thomas Securities, LLC, based in Rochester, NY, with 32 years of industry experience. Phillip operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning. Their firm serves 2,599 clients with $1.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ashton Thomas Securities offers investment management services where you pay an annual percentage of your account value. The exact percentage depends on the specific program you choose. These programs include FB Advisory, Managed ETF Portfolios, and Morningstar Managed Portfolios. Fees are billed monthly or quarterly in advance, depending on the program. Additional expenses may include brokerage trading costs and custodial fees for retirement accounts. Wrap fee programs bundle investment advisory, trade execution, custody, and reporting fees into a single annual fee.
Location
2243 Lyell Ave, Rochester, NY, 14606
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Phillip owns 40% of ERB Financial, a tax preparation business, dedicating a few hours a week except during tax season. He is also appointed with Excellus & United Healthcare and has a life insurance and long-term care business through Advisors Ins. Brokers & NY LTC Brokers LTD, spending a few hours per week on each.
Employment History
Current Registrations
Ashton Thomas Securities, LLC
Ashton Thomas Securities, LLCBroker
Previous Registrations
Ensemble Financial Services, INC.
Ensemble Financial Services, INC.Broker
State Registrations15 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.