JD
Jacob P. Defilippo
DELTA FINANCIAL ADVISORS,
Kensington, MD 20895-4015
Some features on this profile are disabled
CRD#: 5712967
JD
Professional summary
Jacob Patrick Defilippo is a registered financial advisor currently at DELTA FINANCIAL ADVISORS, INC located in Kensington, Maryland and REGULUS FINANCIAL GROUP, LLC located in Kensington, Maryland.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jacob has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Client Services Director and Investment Advisor Representative for Delta Financial Advisors, Inc. Located at 10539 Metropolitan Avenue, Kensington, MD, 20895. This is investment related. He receives commissions. He devotes 40 hours per month and 20 hours during trading hours. His duties are managing client services and being a registered assistant. 2. Regulus Advisors, LLC; Investment Related: Yes Address: Kensington, MD Nature of Business: Commission based product sales for broker dealer Title: Registered Representative Start Date: 08/2015 - Hours per week Up to 40 during trading hours Business Name: Jacob P. Defilippo - Investment Related: Yes - Address: 7520 Park Drive, Bowie, MD 20715 - Nature of Business: Real Estate Flip - Title or Relationship: Investor - Start Date: 4/19/2024 - Hours per month: 5 - Hours per month during trading hours: 0 - Duties: I will be entering into a purchase of real estate with my father (Pat DeFilippo) and uncle (Charles DeFilippo who is a client). The purpose of the property is to renovate and sell/rent contingent on market conditions. At this time this is not a loan and the $50,000 I will be investing will be taken from my assets. I do not plan to have much involvement in the renovations thus operating as a silent investor.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Patrick Defilippo'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®
NoneExperience
Current
April 21, 2021 - Present
DELTA FINANCIAL ADVISORS, INC
Office #1: 10539 Metropolitan Avenue, Kensington, MD 20895-4015RIA
CRD#: 121907
Kensington, MD
Current
August 24, 2015 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 10539 Metropolitan Ave, Kensington, MD 20895BD
CRD#: 150631
Kensington, MD
Past
October 27, 2017 - November 9, 2021
BEACON GLOBAL ADVISOR NETWORK, LLC
RIA
CRD#: 288833
Kensington, MD
Past
June 24, 2015 - August 24, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
KENSINGTON, MD
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DF
DELTA FINANCIAL ADVISORS, INC
DELTA FINANCIAL ADVISORS, INC
CRD#: 121907 / SEC#: 801-120897
RIA
Registered Investment Advisory firm - (4/22/2021 Approved)Maryland
Registered Investment Advisory firm - (5/14/2021 Terminated)North Carolina
Registered Investment Advisory firm - (4/30/2021 Terminated)Virginia
Registered Investment Advisory firm - (4/29/2021 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Maryland(8/24/2015)
IAR
Maryland(4/21/2021)
IAR
Texas(4/22/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DF
DELTA FINANCIAL ADVISORS, INC
DELTA FINANCIAL ADVISORS, INC
CRD#: 121907 / SEC#: 801-120897
RIA
Registered Investment Advisory firm - (4/22/2021 Approved)Maryland
Registered Investment Advisory firm - (5/14/2021 Terminated)North Carolina
Registered Investment Advisory firm - (4/30/2021 Terminated)Virginia
Registered Investment Advisory firm - (4/29/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10539 Metropolitan Avenue, Kensington, MD 20895-4015
Mailing Address
Phone number
(301) 962-0480
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 533 |
| AUM (Assets Under Management) | $ 208,474,407 |
Red Flags
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