Philip James Ricasata

Current Employers

Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-04-10

CA RA
APPROVED

Since 2026-04-10

Branch Locations

58 N Ash St, Ventura, CA 93001 • United States

Ventura, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Walpole Financial Advisors	Goleta	CA	08/2016	03/2018
Creative Planning	Ventura	CA	04/2018	04/2026
Mariner	Overland Park	KS	04/2026	Present

08/2016 → 03/2018

Walpole Financial Advisors

Goleta, CA
04/2018 → 04/2026

Creative Planning

Ventura, CA
04/2026 → Present

Mariner

Overland Park, KS

Previous Registrations

2018-04-18 → 2026-04-13

Creative Planning

Ventura, CA

Overland Park, KS
2016-09-29 → 2018-04-09

Walpole Financial Advisors, Llc

Goleta, CA
2012-01-13 → 2016-09-01

Strategic Advisers Llc

Santa Barbara, CA
2011-06-20 → 2011-11-29

Chase Investment Services Corp.

Newbury Park, CA
2010-01-19 → 2010-12-20

Raymond James Financial Services Advisors, Inc

Ventura, CA
2005-03-03 → 2010-01-14

Ubs Financial Services Inc.

Oxnard, CA

Oxnard, CA
2004-02-11 → 2005-04-08

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA

Other Businesses

Amazon Reseller; Ventura, CA; not investment related; Co-owner with spouse; Start date 7.28.22; 20 hours per month/0 hours during trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-01-22
S63	Uniform Securities Agent State Law Examination	1995-02-09

S66 Uniform Combined State Law Examination

2004-01-22
S63 Uniform Securities Agent State Law Examination

1995-02-09

Designations

Other Names

Phil Ricasata

View on SEC IAPD