DF
Deborah M. Filippi
U. S. BOSTON CAPITAL
Lincoln, MA 01773
Some features on this profile are disabled
CRD#: 1312699
DF
Professional summary
Deborah Marie Filippi, who also goes by Deborah Marie Filippe, Deborah Marie Neal, is a registered financial professional currently at U. S. BOSTON CAPITAL CORPORATION located in Lincoln, Massachusetts.
Deborah is registered as a RR (Registered Representative) and started their career in finance in 2005. Deborah has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Deborah Marie Filippe | Deborah Marie Neal
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Deborah Marie Filippi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 12, 2005 - Present
U. S. BOSTON CAPITAL CORPORATION
Office #1: 55 Old Bedford Rd, Lincoln, MA 01773Office #2: Lincoln North, Lincoln, MA 01773RIA
BD
CRD#: 5251
Lincoln, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
US
U. S. BOSTON CAPITAL CORPORATION
U. S. BOSTON CAPITAL CORPORATION
CRD#: 5251 / SEC#: 801-130044, 8-15885
RIA
Registered Investment Advisory firm - SEC (4/26/2024 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(1/10/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
US
U. S. BOSTON CAPITAL CORPORATION
U. S. BOSTON CAPITAL CORPORATION
CRD#: 5251 / SEC#: 801-130044, 8-15885
RIA
Registered Investment Advisory firm - SEC (4/26/2024 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Lincoln North Suite 202, Lincoln, MA 01773
Mailing Address
55 Old Bedford Road Suite 202, Lincoln, MA 01773
Phone number
(781) 259-1144
Established
Massachusetts since 04/23/1970
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
5
SEC notice filing (4 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BOSTON CORPORATION | SHAREHOLDER | |
| HUNT, DIANE | TREASURER | 1314708 |
| HUNT, DIANE | PRINCIPAL OPERATIONS OFFICER | 1314708 |
| KESSINGER, DEBORAH ANNE | PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKER DEALER | 1801530 |
| MONISOV, ALINA | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6235159 |
| OKUROWSKI, LEON | VICE PRESIDENT, DIRECTOR AND CLERK | 351799 |
| UMPHREY, WILLARD LEE | DIRECTOR | 451556 |
Regulatory assets under management
| Total Number of Accounts | 271 |
| AUM (Assets Under Management) | $ 359,787,261 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/17/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
U. S. BOSTON CAPITAL CORPORATION
CRD#: 5251Lincoln, MA 01773TRUST BUT VERIFY
Monitor Deborah Filippi
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
