Jeffrey E. Filimon
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.
Jeffrey Emil Filimon was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1998. Jeffrey had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 3, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2018 - December 18, 2020
KESTRA ADVISORY SERVICES, LLC
May 29, 2018 - December 18, 2020
KESTRA INVESTMENT SERVICES, LLC
October 6, 2016 - March 7, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 3, 2015 - March 7, 2018
SCOTTRADE, INC.
September 18, 2014 - February 2, 2015
HSBC SECURITIES (USA) INC.
September 11, 2014 - February 2, 2015
HSBC SECURITIES (USA) INC.
February 24, 2014 - August 27, 2014
PROTECTED INVESTORS OF AMERICA
February 14, 2014 - August 27, 2014
PROTECTED INVESTORS OF AMERICA
April 6, 2011 - September 10, 2014
SAVANT INVESTMENT GROUP, LLC
March 4, 2011 - March 7, 2012
CHAPIN, DAVIS
October 15, 2008 - February 22, 2011
FIRST CLEARING, LLC
October 25, 2006 - July 11, 2008
FIDELITY BROKERAGE SERVICES LLC
April 17, 2002 - October 25, 2006
NATIONAL FINANCIAL SERVICES LLC
November 20, 1998 - March 19, 2002
PERSHING LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 7TO
Date: 10/24/2022
General Securities Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
