Sergi R. Filonow
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.
Sergi R Filonow, who also goes by Sergi Robert Filonow, was a registered financial professional .
Sergi is a previously registered financial professional and started their career in finance in 2013. Sergi had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2021 - March 4, 2022
BAKER TILLY CAPITAL, LLC
January 1, 2017 - December 6, 2021
MFA SECURITIES, LLC
November 14, 2014 - January 5, 2015
BRIGHTON HOUSE ASSOCIATES, LLC
June 9, 2014 - January 5, 2015
BHA SELECT NETWORK, LLC
February 5, 2014 - May 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 2013 - May 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
BAKER TILLY CAPITAL, LLC
CRD#: 115333 / SEC#: , 8-53480
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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