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AF

Alexandro L. Filippini

FILIPPINI INVESTMENT ADVISORY
SANTA BARBARA, CA 93101
Some features on this profile are disabled
CRD#: 5043549
AF

Professional summary

Alexandro Louis Filippini, who also goes by Alex Filippini, is a registered financial advisor currently at FILIPPINI INVESTMENT ADVISORY located in Santa Barbara, California.

Alexandro is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Alexandro has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alex Filippini

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. FILIPPINI WEALTH MANAGEMENT, INC.; 319 EAST CARRILLO STREET, SUITE 201, SANTA BARBARA, CA 93101/2945 TOWNSGATE ROAD, 2ND FLOOR, WESTLAKE VILLAGE, CALIFORNIA 91361;INVESTMENT RELATED; INSURANCE AGENT; 01/2009; 1 HRS PER MONTH; 1 HRS PER MONTH DURING TRADING. #2. MONTECITO WEALTH MANAGEMENT, LLC; 319 EAST CARRILLO STREET, SUITE 201, SANTA BARBARA,CA 93101/2945 TOWNSGATE ROAD, 2ND FLOOR, WESTLAKE VILLAGE, CALIFORNIA 91361; 10/2012; MANAGING MEMBER; INVESTMENT RELATED; 1 HRS PER MONTH; 1 HRS DURING TRADING; NATURE OF BUSINESS RIA. #3. IAIAN INSURANCE AGENCY, INC.; INVESTMENT RELATED; 319 EAST CARRILLO STREET, SUITE 201, SANTA BARBARA, CA 93101 & 2945 TOWNSGATE ROAD, 2ND FLOOR, WESTLAKE VILLAGE, CA 91361; INSURANCE AGENCY. LIFE INSURANCE, ANNUITIES, LTC, AND HEALTH INSURANCE. THIS ENTITY WILL BE A LICENCED INSURANCE AGENCY AND THE WRITING AGENT FOR ALL FIXED INSURANCE BUSINESS CURRENTLY BEING WRITTEN INDIVIDUALLY UNDER FILIPPINI WEALTH MANAGEMENT, INC.; INSURANCE AGENT; 05/2021; APPROXIMATE NUMBER OF HOURS PER MONTH - 1 WITH 1 DURING TRADING HOURS; INSURANCE AGENT. #4. Hope School PTA; No; 3970 La Colina Road, Santa Barbara, CA 93110; VP Fundraising - reviewing incoming donations and requesting donations to school/PTA; Board Member; 09/09/2022; 2 hours per month with zero during trading; VP Fundraising - reviewing incoming donations and requesting donations to school/PTA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexandro Louis Filippini's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 7, 2013 - Present

FILIPPINI INVESTMENT ADVISORY

Office #1: 351 Paseo Nuevo 2nd Floor, Santa Barbara, CA 93101
RIA
CRD#: 165943
SANTA BARBARA, CA
Past

August 16, 2017 - December 31, 2024

RCX CAPITAL GROUP, LLC

BD
CRD#: 114290
THE WOODLANDS, TX
Past

October 10, 2013 - September 6, 2016

RCX CAPITAL GROUP, LLC

BD
CRD#: 114290
SAN DIEGO, CA
Past

December 12, 2008 - December 20, 2011

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
MONTECITO, CA
Past

December 12, 2008 - December 20, 2011

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
MONTECITO, CA
Past

March 27, 2007 - December 12, 2008

EPLANNING ADVISORS INC

RIA
CRD#: 109184
ROSEVILLE, CA
Past

October 20, 2006 - December 12, 2008

EPLANNING SECURITIES, INC.

BD
CRD#: 46000
MONTECITO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(3/7/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/23/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/27/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 10/19/2006
Direct Participation Programs Representative Examination

Current Firm

FI
FILIPPINI INVESTMENT ADVISORY
FILIPPINI INVESTMENT ADVISORY | MONTECITO WEALTH MANAGEMENT LLC | MONTECITO WEALTH MANAGEMENT

CRD#: 165943 / SEC#:

California
Registered Investment Advisory firm - (3/7/2013 Approved)
Texas
Registered Investment Advisory firm - (2/5/2025 Conditional Restricted)
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Contact information

Main Address
351 Paseo Nuevo 2nd Floor, Santa Barbara, CA 93101
Mailing Address
Po Box 21708, Santa Barbara, CA 93121
Phone number
(805) 969-9690
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts178
AUM (Assets Under Management)$ 21,777,215

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.

Company Information

FILIPPINI INVESTMENT ADVISORY

CRD#: 165943Santa Barbara, CA 93101

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