Renard J. Defilippo
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.
Renard Joseph Defilippo, who also goes by Reggie Defilippo, was a registered financial professional .
Renard is a previously registered financial professional and started their career in finance in 1989. Renard had worked at 19 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2024 - April 28, 2025
STONEX SECURITIES INC.
February 16, 2017 - April 28, 2025
TRUST ADVISORY GROUP LTD
February 16, 2017 - September 23, 2024
AGES FINANCIAL SERVICES, LTD.
March 25, 2013 - July 24, 2017
SOURCE CAPITAL GROUP, INC.
March 22, 2013 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
June 27, 2012 - March 25, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 15, 2011 - July 12, 2012
AMERICAN CAPITAL PARTNERS, LLC
January 19, 2011 - March 3, 2011
LPL FINANCIAL LLC
January 19, 2011 - March 3, 2011
LPL FINANCIAL LLC
October 28, 2008 - July 8, 2010
CHASE INVESTMENT SERVICES CORP.
October 28, 2008 - July 8, 2010
CHASE INVESTMENT SERVICES CORP.
May 24, 2007 - September 17, 2008
MORGAN STANLEY & CO. LLC
March 11, 2005 - May 15, 2007
BROWN BROTHERS HARRIMAN & CO.
April 28, 2003 - May 15, 2007
INTEGRA SECURITIES CORP.
December 27, 2002 - May 7, 2003
BRUNO, RICHARD ALFONSO
April 2, 2001 - January 8, 2003
HAPOALIM SECURITIES USA, INC.
March 9, 2001 - April 5, 2001
GRUNTAL & CO., L.L.C.
November 17, 2000 - February 26, 2001
UBS FINANCIAL SERVICES INC.
September 26, 2000 - October 16, 2000
QUICK & REILLY, INC.
August 10, 2000 - August 23, 2000
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
April 14, 2000 - April 25, 2000
IDS LIFE INSURANCE COMPANY
April 14, 2000 - April 25, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
July 17, 1992 - May 5, 1998
HAPOALIM SECURITIES USA, INC.
February 25, 1992 - July 9, 1992
SCHRODER & CO. INC.
April 27, 1989 - February 19, 1992
HAPOALIM SECURITIES USA, INC.
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
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
