Vincent Difilippo
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.
Vincent Difilippo, who also goes by VIncent Joseph Difilippo, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 2017. Vincent had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 53, Series 24, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2021 - January 30, 2023
CETERA INVESTMENT ADVISERS LLC
March 2, 2021 - January 30, 2023
CETERA INVESTMENT SERVICES LLC
July 27, 2020 - March 3, 2021
AE WEALTH MANAGEMENT, LLC
July 23, 2020 - March 3, 2021
AE FINANCIAL SERVICES, LLC
January 2, 2018 - December 2, 2019
CHARLES SCHWAB & CO., INC.
April 19, 2017 - December 2, 2019
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
