Jerry A. Filippini
Professional summary
Jerry Albert Filippini is a registered financial professional currently at WALL STREET ACCESS located in Park Ridge, New Jersey.
Jerry is registered as a RR (Registered Representative) and started their career in finance in 1991. Jerry has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jerry Albert Filippini's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 30, 2019 - Present
WALL STREET ACCESS
Office #1: One Maynard Drive Suite 2201, Park Ridge, NJ 07656Office #2: 766 Shrewsbury Avenue, Tinton Falls, NJ 07724November 17, 2008 - June 10, 2019
BTIG, LLC
October 29, 2004 - November 19, 2008
UBS SECURITIES LLC
February 11, 2003 - November 1, 2004
UBS CAPITAL MARKETS L.P.
September 9, 2002 - February 11, 2003
GOLDMAN SACHS & CO. LLC
April 21, 1998 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 3, 1996 - March 16, 1998
STEPHENS
June 9, 1992 - January 16, 1996
DEUTSCHE IXE, LLC
February 19, 1991 - June 9, 1992
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/3/1998
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
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