Robert Filocco
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.
Robert Filocco was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2015 - December 9, 2015
CAPITAL ANALYSTS
January 7, 2015 - December 9, 2015
LINCOLN INVESTMENT
December 18, 2014 - December 9, 2015
LINCOLN INVESTMENT
April 10, 2008 - January 31, 2013
MSI FINANCIAL SERVICES, INC.
March 31, 2008 - January 31, 2013
MSI FINANCIAL SERVICES, INC.
April 21, 2005 - March 20, 2008
VOYA FINANCIAL PARTNERS, LLC
April 21, 2005 - March 20, 2008
VOYA FINANCIAL PARTNERS, LLC
October 30, 2003 - May 3, 2005
VALIC FINANCIAL ADVISORS, INC.
June 4, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
June 4, 2001 - May 3, 2005
VALIC FINANCIAL ADVISORS, INC.
March 5, 1999 - March 17, 1999
METLIFE INVESTORS DISTRIBUTION COMPANY
March 5, 1999 - June 4, 2001
METROPOLITAN LIFE INSURANCE COMPANY
March 5, 1999 - June 4, 2001
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
Current Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
