George J. Filippone
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.
George Joseph Filippone JR was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1991. George had worked at 6 firms and has passed the Series 63 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
April 21, 1993 - April 6, 1994
FIRST ASSET MANAGEMENT, INC.
January 8, 1993 - April 27, 1993
CONTINENTAL BROKER-DEALER CORP.
November 6, 1992 - December 22, 1992
H G I
September 4, 1992 - November 6, 1992
MEYERS POLLOCK ROBBINS, INC.
November 15, 1991 - January 24, 1992
J. GREGORY & COMPANY, INC.
November 15, 1991 - June 27, 1992
INVESTORS ASSOCIATES, 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
FIRST ASSET MANAGEMENT, INC.
CRD#: 17341 / SEC#: , 8-35154
Contact information
Documents
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.
