AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SF

Stuart A. Filippone

Some features on this profile are disabled
CRD#: 2196356
SF

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.

Stuart Ames Filippone was a registered financial professional .

Stuart is a previously registered financial professional and started their career in finance in 1996. Stuart had worked at 14 firms and has passed the Series 63, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 6, 2012 - March 4, 2013

TOURMALINE PARTNERS, LLC

BD
CRD#: 154492
STAMFORD, CT
Past

December 9, 2008 - June 26, 2012

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
NEW YORK CITY, NY
Past

March 12, 2008 - December 4, 2008

MILSTREAM SECURITIES LLC

BD
CRD#: 38771
NEW HOPE, PA
Past

November 5, 2007 - January 18, 2008

GENESIS GLOBAL TRADING, INC

BD
CRD#: 136962
NEW YORK, NY
Past

January 9, 2007 - June 8, 2007

G-TRADE SERVICES LLC

BD
CRD#: 140314
NEW YORK, NY
Past

May 26, 2006 - December 31, 2006

PERSHING LLC

BD
CRD#: 7560
NEW YORK, NY
Past

June 24, 2005 - April 11, 2006

ARITAS SECURITIES LLC

BD
CRD#: 128453
NEW YORK, NY
Past

December 3, 2001 - May 17, 2005

HARBORSIDE SECURITIES, LLC

BD
CRD#: 114053
NEW YORK, NY
Past

September 19, 2000 - June 7, 2001

WOFEX BROKERAGE, INC.

BD
CRD#: 103951
NEW YORK, NY
Past

January 25, 2000 - May 23, 2000

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

January 23, 1998 - July 9, 1998

NATIVE NATIONS SECURITIES, INC.

BD
CRD#: 334
JERSEY CITY, NJ
Past

March 19, 1997 - April 30, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 20, 1996 - March 12, 1997

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

March 29, 1996 - April 24, 1996

FIRST INSTITUTIONAL SECURITIES, L.L.C.

BD
CRD#: 23910
WEST PATERSON, 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: 4/4/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 1/24/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/28/1996
General Securities Representative Examination

Current Firm

TP
TOURMALINE PARTNERS, LLC
TOURMALINE PARTNERS, LLC

CRD#: 154492 / SEC#: , 8-68644

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
680 Washington Blvd. 10th Floor, Stamford, CT 06901
Mailing Address
680 Washington Blvd. 10th Floor, Stamford, CT 06901
Phone number
(203) 302-7300
Established
Connecticut since 06/17/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TOUR INTERMEDIATE 2, LLCSOLE MEMBER
CONWAY, JAMES ROBERTCFO, FINOP4368039
DISPIGNA, DANIEL NMNCOO2902260
HANTMAN, AARON SAMUELCEO3020334
OLENCKI, JAMES LOUIS MR.CHIEF COMPLIANCE OFFICER5602387

Disclosures

Regulatory Event3

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

TOURMALINE PARTNERS, LLC

CRD#: 154492

TRUST BUT VERIFY

Monitor Stuart Filippone

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics