Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Filippo? Claim Your ProfileFilippo Maiello is a Registered Representative and Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Filippo has been in the financial services industry since 2007. Filippo has a strong track record of providing comprehensive financial services to a wide range of clients, including individuals, businesses, and institutions. Filippo is committed to providing personalized service and tailored solutions to meet the unique needs of each client. Filippo holds a Series 7, Series 9, Series 63, and Series 66 licenses and has experience in a number of financial areas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
11/23/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NY
10/18/2019 - 05/11/2020
SANTANDER SECURITIES LLC (STATEN ISLAND NY)
NJ
10/31/2014 - 10/15/2019
EQUINOX GROUP DISTRIBUTORS, LLC (PRINCETON NJ)
NJ
08/24/2010 - 10/23/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
NJ
10/24/2007 - 07/06/2009
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NJ
11/08/2006 - 09/17/2007
AXA ADVISORS, LLC (MANASQUAN NJ)
NJ
02/01/2006 - 11/13/2006
NATIONAL SECURITIES CORPORATION (ISELIN NJ)
BOTH
Issued 10/22/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/16/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/25/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/28/2009
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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