John Filippone is a registered investment advisor, based in Highlands Ranch, CO, with 30 years of industry experience.
Location
Highlands Ranch, CO
Get directionsHistory
Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 8 mos
Cetera Advisors LLC
September 2022 - Present · 3 yrs 8 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 6 mos
Previous Registrations
First Allied Advisory Services, INC.
December 2010 - November 2020 · 9 yrs 11 mos
First Allied Securities, INC.
October 2006 - July 2012 · 5 yrs 9 mos
Western Securities Clearing CORP.Broker
December 2002 - January 2005 · 2 yrs 1 mo
First Allied Securities, INC.Broker
September 2000 - September 2022 · 22 yrs
D.E. Frey & Company, INC.Broker
April 2000 - October 2000 · 6 mos
Neidiger, Tucker, Bruner, INC.Broker
February 2000 - March 2000 · 1 mo
D.E. Frey & Company, INC.Broker
January 1996 - February 2000 · 4 yrs 1 mo
Smith Barney INC.Broker
May 1995 - January 1996 · 8 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.