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RD

Raymond T. Difilippo

DBD RETIREMENT AND FINANCIAL SERVICES
Manassas, VA
Some features on this profile are disabled
CRD#: 7025249
RD

Professional summary

Raymond T Difilippo, who also goes by Raymond T Di Fillippo, is a registered financial advisor currently at DBD RETIREMENT AND FINANCIAL SERVICES located in Manassas, Virginia.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Raymond has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Raymond T Di Fillippo

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.
DBD RETIREMENT & FINANCIAL SERVICES, LLC, INVESTMENT RELATED, 14731 KILHAVEN COURT MANASSAS, VA 20112, SECURITY SALES, FIXED INSURANCE, AND ADVISORY SERVICES, PRESIDENT, 03/14/2019, 160 HOURS PER MONTH DEVOTED, 160 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS, CLIENT FINANCIAL SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond T Difilippo's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 14, 2023 - Present

DBD RETIREMENT AND FINANCIAL SERVICES

RIA
CRD#: 328239
Manassas, VA
Past

October 10, 2019 - December 21, 2023

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
MANASSAS, VA
Past

October 4, 2019 - December 21, 2023

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
MANASSAS, VA
Past

March 26, 2019 - October 10, 2019

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
FAIRFAX, VA
Past

February 8, 2019 - October 10, 2019

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
FAIRFAX, VA

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".
DR
DBD RETIREMENT AND FINANCIAL SERVICES
DBD ENTERPRISES LLC | DBD RETIREMENT AND FINANCIAL SERVICES, LLC | DBD RETIREMENT AND FINANCIAL SERVICES | DBD FINANCIAL

CRD#: 328239 / SEC#: 801-129039

RIA
Registered Investment Advisory firm - (11/9/2023 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Virginia
(12/14/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/8/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/8/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/19/2018
Securities Industry Essentials Examination

Current Firm

DR
DBD RETIREMENT AND FINANCIAL SERVICES
DBD ENTERPRISES LLC | DBD RETIREMENT AND FINANCIAL SERVICES, LLC | DBD RETIREMENT AND FINANCIAL SERVICES | DBD FINANCIAL

CRD#: 328239 / SEC#: 801-129039

RIA
Registered Investment Advisory firm - (11/9/2023 Approved)
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Contact information

Main Address
Manassas, VA
Mailing Address
Phone number
(703) 791-5955
Established
Firm type
Fiscal year end
# of Employees
1

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DBD RETIREMENT AND FINANCIAL RESOURCES ADV PART 2A AND 2B (1/16/2025)

Regulatory assets under management

Total Number of Accounts38
AUM (Assets Under Management)$ 133,866,680

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.

Company Information

DBD RETIREMENT AND FINANCIAL SERVICES

CRD#: 328239Manassas, VA

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