Eric J. Filimon
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.
Eric Joseph Filimon, CFP®, who also goes by Eric J Filimon, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2004. Eric had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2012 - November 23, 2021
SCHWAB WEALTH ADVISORY, INC.
January 4, 2012 - July 12, 2012
CHARLES SCHWAB & CO., INC.
August 17, 2010 - November 23, 2021
CHARLES SCHWAB & CO., INC.
August 11, 2010 - December 31, 2011
CHARLES SCHWAB & CO., INC.
May 25, 2005 - February 13, 2009
STRATEGIC ADVISERS LLC
May 21, 2004 - February 13, 2009
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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: 10/12/2022
General Securities Representative ExaminationCurrent Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
