Jeff M. Gilfillan
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.
Jeff Michael Gilfillan, who also goes by Jeff Gilfillan, was a registered financial professional .
Jeff is a previously registered financial professional and started their career in finance in 2004. Jeff had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2021 - March 13, 2026
PHILLIP CAPITAL INC.
April 18, 2006 - December 24, 2008
MF GLOBAL INC.
June 17, 2004 - May 18, 2005
TERRA NOVA FINANCIAL, LLC
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
Series 7TO
Date: 5/10/2021
General Securities Representative ExaminationCurrent Firm
PHILLIP CAPITAL INC.
CRD#: 173869 / SEC#: , 8-69558
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
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.
