John W. Filoon
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.
John W Filoon III, who also goes by Jake Filoon, John Whipple Filoon III, John W Filoon, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2021 - October 25, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 2, 2021 - October 25, 2024
FIDELITY BROKERAGE SERVICES LLC
February 11, 2020 - June 15, 2021
PARK AVENUE SECURITIES LLC
January 16, 2020 - June 15, 2021
PARK AVENUE SECURITIES LLC
December 22, 2011 - December 31, 2018
WESTON SECURITIES CORPORATION
October 21, 2003 - September 7, 2004
COLUMBIA MANAGEMENT ADVISORS, INC.
August 5, 1998 - July 14, 2000
COLUMBIA FINANCIAL CENTER INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
