EF
Eric M. Filippone
BUCKRAM SECURITIES LTD
Locust Valley, NY 11560
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CRD#: 6491895
EF
Professional summary
Eric Matthew Filippone is a registered financial advisor currently at BUCKRAM SECURITIES LTD located in Locust Valley, New York.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Eric has worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 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.
E Filippone LLC was established on 9/26/2023 for Personal Training Lessons. There is no time spent during securities trading hours on the outside business activity. This is a Non-Investment Related activity.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Matthew Filippone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Matthew Filippone'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
March 10, 2022 - Present
BUCKRAM SECURITIES LTD
Office #1: 168 Forest Avenue Suite 202, Locust Valley, NY 11560RIA
BD
CRD#: 126976
Locust Valley, NY
Current
November 21, 2016 - Present
BUCKRAM SECURITIES LTD
Office #1: 168 Forest Avenue Suite 202, Locust Valley, NY 11560RIA
BD
CRD#: 126976
Locust Valley, NY
Past
November 13, 2015 - August 30, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
EAST HILLS, NY
Past
May 18, 2015 - July 8, 2015
WILMINGTON CAPITAL SECURITIES, LLC
BD
CRD#: 133839
MELVILLE, NY
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".
BS
BUCKRAM SECURITIES LTD
BUCKRAM SECURITIES LTD
CRD#: 126976 / SEC#: 801-110136, 8-65939
RIA
Registered Investment Advisory firm - SEC (3/17/2017 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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
Florida(4/10/2019)
RR
New Jersey(4/10/2019)
RR
New York(11/21/2016)
IAR
New York(3/10/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/10/2019
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BUCKRAM SECURITIES LTD
BUCKRAM SECURITIES LTD
CRD#: 126976 / SEC#: 801-110136, 8-65939
RIA
Registered Investment Advisory firm - SEC (3/17/2017 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
168 Forest Avenue Suite 202, Locust Valley, NY 11560
Mailing Address
168 Forest Avenue Suite 202, Locust Valley, NY 11560
Phone number
(516) 759-7400
Established
Delaware since 02/26/2003
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (7 States and Territories)
FINRA licenses (18 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEBUONA, PETER PHILIP | PRESIDENT/CCO | |
| DEBUONA, JANE MARIE | FINOP | 5394679 |
| FILIPPONE, ERIC MATTHEW | PRINCIPAL | |
| RUTTER, MARIA ANN | PRINCIPAL |
Regulatory assets under management
| Total Number of Accounts | 133 |
| AUM (Assets Under Management) | $ 92,729,815 |
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.
