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EF

Eugene J. Filippino

Some features on this profile are disabled
CRD#: 1956608
EF

Professional summary

Eugene Joseph Filippino was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Eugene is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Eugene had worked at 9 firms, which includes J.W. BARCLAY & CO. INC., BISHOP ALLEN INC., PARAGON CAPITAL MARKETS INC., HANOVER STERLING & COMPANY LTD., BARRON CHASE SECURITIES INC., CORTLANDT CAPITAL CORPORATION, J. GREGORY & COMPANY INC., GKN SECURITIES CORP., A.S. GOLDMEN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gene Filippino | Phillips Filippino | Gene Phillips | Philips Zane

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 14, 1997 - February 5, 1998

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ
Past

April 10, 1997 - August 19, 1997

BISHOP, ALLEN, INC.

BD
CRD#: 2060
NEW YORK, NY
Past

January 5, 1996 - May 20, 1997

PARAGON CAPITAL MARKETS, INC.

BD
CRD#: 18555
EAST HANOVER, NJ
Past

April 25, 1995 - June 12, 1995

PARAGON CAPITAL MARKETS, INC.

BD
CRD#: 18555
EAST HANOVER, NJ
Past

June 10, 1994 - July 11, 1995

HANOVER, STERLING & COMPANY LTD.

BD
CRD#: 15491
NEW YORK, NY
Past

February 10, 1994 - April 19, 1994

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

July 20, 1993 - February 2, 1994

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, NY
Past

December 18, 1992 - August 19, 1993

J. GREGORY & COMPANY, INC.

BD
CRD#: 14892
Past

January 23, 1992 - November 23, 1992

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

January 30, 1991 - January 1, 1992

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/6/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 1/28/1991
Corporate Securities Limited Representative Examination

Current Firm

JB
J.W. BARCLAY & CO., INC.
IRBN INVESTMENT CORPORATION | J.W. BARCLAY & CO., INC.

CRD#: 23350 / SEC#: , 8-40351

BD
Revoked by SEC on 03/14/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/26/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRUNO, JOHN ANTHONYPRESIDENT1534511
WILLS, MICHAEL JOHNDIRECTOR1674681
WALSH, PETER JAMESCHIEF FINANCIAL OFFICE1190458

Disclosures

Regulatory Event4
Civil Event1
Arbitration19

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

J.W. BARCLAY & CO., INC.

CRD#: 23350

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