Carlo P. Sanfilippo

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CRD#: 2694624

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.

Carlo Peter Sanfilippo, CFP®, who also goes by Carlo Peter Sanfilipo, was a registered financial professional .

Carlo is a previously registered financial professional and started their career in finance in 1996. Carlo had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlo Peter Sanfilipo

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.

1. 9/22/2014 - Integral Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - START 11/01/2014 - 30 Hours Per Month During Securities Trading. 2. 2/8/2016 - Integral Wealth - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/11/2015 - 0 Hours Per Month - Trails Only. 3. 04/21/2016; NO BUSINESS NAME; Teacher; NOT INV REL; AT REPORTED BUSINESS LOCATION(S); START DATE 05/01/2016; Teacher-As a hobby I perform long form improv. I have been asked to teach a class on the philosophy of the art form. This is an evening and weekend activity. I do not discuss or market my securities business in any way; 15 HRS/MO; 0 HRS DURING SECS TRADING HRS. 4. 5/16/2017 - Southern Illinois University - Investment Related - 1 Hairpin Dr, Edwardsville, IL 62025 - Other-Actor - Start 05/17/2017 - 0 Hours Per Month During Securities Trading - Actor for a commercial. 5. 9/3/2020 - Brokerage Unlimted, Cohen Agency - DBA: Integral Wealth - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/01/2014 - 10 Hours Per Month During Securities Trading. 6. 5/18/2021 - It's the journey - Not Investment Related - Work from home and record at a studio. - Other-Podcast and author - Content Creator - Started 09/17/2018 - 5 Hours Per Month/0 Hours During Securities Trading - Recording 1 podcast per week, on average, and using that content as material for a book. 7. 09/14/2021 - ADK Wealth Advisory Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 02/08/2021 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through ADK Wealth Advisory Group, an independent investment advisor firm. I started this business activity in 2/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Past

February 3, 2021 - April 1, 2022

ADK WEALTH ADVISORY GROUP

RIA

CRD#: 175085

ST. LOUIS, MO

Past

May 21, 2003 - May 19, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

CREVE COEUR, MO

Past

May 21, 2003 - April 19, 2022

LPL FINANCIAL LLC

CRD#: 6413

CREVE COEUR, MO

Past

November 8, 1999 - June 2, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

CLAYTON, MO

Past

October 19, 1999 - June 2, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

October 19, 1999 - June 2, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

August 12, 1998 - October 12, 1999

MAGNA INVESTMENTS

CRD#: 16511

ST. LOUIS, MO

Past

June 1, 1998 - July 31, 1998

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 24, 1996 - June 1, 1998

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 30, 1996 - June 5, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 24, 1996 - March 4, 1996

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

ADK WEALTH ADVISORY GROUP

CRD#: 175085 / SEC#: 801-99353

RIA

Registered Investment Advisory firm - (6/9/2015 Approved)

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.

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.

Exams

State Security Law Exam

Series 63

Date: 1/23/1996

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: 8/12/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/23/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ADK WEALTH ADVISORY GROUP

CRD#: 175085 / SEC#: 801-99353

RIA

Registered Investment Advisory firm - (6/9/2015 Approved)

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Contact information

Main Address

12935 North Outer Forty Road Suite 101, St. Louis, MO 63141

Mailing Address

Phone number

(314) 878-1489

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADK WEALTH ADVISORY GROUP - WRAP FEE BROCHURE (3/24/2025)

ADK WEALTH ADVISORY GROUP - FORM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	2,106
AUM (Assets Under Management)	$ 685,673,033

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

Carlo P. Sanfilippo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

MAGNA INVESTMENTS

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LPL FINANCIAL LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

ADK WEALTH ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 1/23/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/12/1998

Series 6

Date: 1/23/1996

Current Firm

ADK WEALTH ADVISORY GROUP

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADK WEALTH ADVISORY GROUP

TRUST BUT VERIFY

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