ANDREW P. DEFILIPPIS
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.
ANDREW PAUL DEFILIPPIS, who also goes by Andrew Paul Defilippis, was a registered financial professional .
ANDREW is a previously registered financial professional and started their career in finance in 2015. ANDREW had worked at 2 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
October 15, 2019 - April 29, 2025
FISHER INVESTMENTS
September 9, 2015 - September 10, 2019
EDWARD JONES
August 17, 2015 - September 10, 2019
EDWARD JONES
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
FISHER INVESTMENTS
Regional Vice PresidentCRD#: 107342TRUST BUT VERIFY
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