Michael T. Filippo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Thomas Filippo was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2014 - December 21, 2016
MELVIN SECURITIES, L.L.C.
July 8, 2010 - March 7, 2012
ABN AMRO CLEARING USA LLC
January 24, 1996 - February 1, 2010
TD PROFESSIONAL EXECUTION, INC.
January 1, 1991 - September 9, 1994
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
MELVIN SECURITIES, L.L.C.
CRD#: 29767 / SEC#: , 8-41505
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
Red Flags
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