Jeffrey Filone

PLATFORM TECHNOLOGY PARTNERS

Woodbury, NY 11797

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CRD#: 2651076

Professional summary

Jeffrey Filone is a registered financial advisor currently at PLATFORM TECHNOLOGY PARTNERS located in Woodbury, New York and SPIRE SECURITIES, LLC located in Woodbury, New York.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jeffrey has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

IAR and member of Northeast Private Wealth Management LLC, an SEC RIA, unaffiliated with Spire. full time duties during business hours. DBA: NEPWM for Spire related duties. Full time. 63 Forest Ave Holding Co, LLC; owner; 08/30/2024; 10 hours/month; real estate management; compensation through rental income.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Filone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 24, 2020 - Present

PLATFORM TECHNOLOGY PARTNERS

Office #1: 135 Crossways Park Drive Suite 104, Woodbury, NY 11797

RIA

CRD#: 305602

Woodbury, NY

Current

November 8, 2019 - Present

SPIRE SECURITIES, LLC

Office #1: 135 Crossways Park Drive Suite 404, Woodbury, NY 11797

CRD#: 144131

Woodbury, NY

Past

February 7, 2014 - November 13, 2019

MORGAN STANLEY

RIA

CRD#: 149777

GARDEN CITY, NY

Past

April 20, 2012 - May 11, 2012

MORGAN STANLEY

RIA

CRD#: 149777

GARDEN CITY, NY

Past

June 1, 2009 - December 31, 2010

MORGAN STANLEY

RIA

CRD#: 149777

GARDEN CITY, NY

Past

June 1, 2009 - November 13, 2019

MORGAN STANLEY

CRD#: 149777

GARDEN CITY, NY

Past

February 6, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

GARDEN CITY, NY

Past

February 6, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

GARDEN CITY, NY

Past

April 26, 2004 - February 24, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MITCHEL FIELD, NY

Past

October 15, 1998 - February 24, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MITCHEL FIELD, NY

Past

January 20, 1997 - October 15, 1998

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

September 20, 1995 - January 22, 1997

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PLATFORM TECHNOLOGY PARTNERS

NORTHEAST PRIVATE WEALTH MANAGEMENT | PLATFORM TECHNOLOGY PARTNERS LLC | PLATFORM TECHNOLOGY PARTNERS

CRD#: 305602 / SEC#: 801-117439

RIA

Registered Investment Advisory firm - (10/7/2019 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/12/2022)

Florida
(11/8/2019)

Massachusetts
(11/8/2019)

New Hampshire
(11/8/2019)

New Jersey
(11/8/2019)

IAR

New Jersey
(4/24/2020)

New York
(11/8/2019)

IAR

New York
(8/24/2021)

Pennsylvania
(11/8/2019)

IAR

Texas
(5/27/2020)

Virginia
(8/12/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/2/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PLATFORM TECHNOLOGY PARTNERS

NORTHEAST PRIVATE WEALTH MANAGEMENT | PLATFORM TECHNOLOGY PARTNERS LLC | PLATFORM TECHNOLOGY PARTNERS

CRD#: 305602 / SEC#: 801-117439

RIA

Registered Investment Advisory firm - (10/7/2019 Approved)

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Contact information

Main Address

475 Fifth Ave Suite 1501, New York, NY 10017

Mailing Address

Phone number

(212) 444-2362

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PLATFORM TECHNOLOGY PARTNERS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,939
AUM (Assets Under Management)	$ 1,090,849,298

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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey Filone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Filone's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRE SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

JANNEY MONTGOMERY SCOTT LLC

WINDSOR STREET CAPITAL, LP

Primary Firm SEC Registration

PLATFORM TECHNOLOGY PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/1999

Series 63

Date: 9/18/1995

SIE

Date: 10/1/2018

Series 7

Date: 9/13/1995

FINRA

Current Firm

PLATFORM TECHNOLOGY PARTNERS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLATFORM TECHNOLOGY PARTNERS

TRUST BUT VERIFY

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