John V. Filippone
Professional summary
John Vincent Filippone, who also goes by John Filippone, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Highlands Ranch, Colorado and CETERA ADVISORS LLC located in Greenwood Village, Colorado.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 8 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Vincent Filippone's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111December 9, 2010 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
October 31, 2006 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
December 10, 2002 - January 12, 2005
WESTERN SECURITIES CLEARING CORP.
September 29, 2000 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
April 6, 2000 - October 26, 2000
D.E. FREY & COMPANY, INC.
February 17, 2000 - March 30, 2000
NTB FINANCIAL CORPORATION
January 20, 1996 - February 23, 2000
D.E. FREY & COMPANY, INC.
May 22, 1995 - January 11, 1996
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 6/23/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
