Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Vincent Filippone is a financial advisor who has been in the industry since 1995. He is currently registered with Cetera Investment Advisers LLC and has offices in Highlands Ranch, CO and Lone Tree, CO. John previously worked for First Allied Securities, Inc., Western Securities Clearing Corp., D.E. Frey & Company, Inc., Neidiger, Tucker, Bruner, Inc. and Smith Barney Inc.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
A percentage of the total value of assets under management is charged.
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2
CO
11/12/2020 - Present
Cetera Investment Advisers LLC (HIGHLANDS RANCH CO)
CO
09/29/2000 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (HIGHLANDS RANCH CO)
CA
12/10/2002 - 01/12/2005
WESTERN SECURITIES CLEARING CORP. (SAN DIEGO CA)
CO
04/06/2000 - 10/26/2000
D.E. FREY & COMPANY, INC. (DENVER CO)
CO
02/17/2000 - 03/30/2000
NEIDIGER, TUCKER, BRUNER, INC. (HIGHLANDS RANCH CO)
CO
01/20/1996 - 02/23/2000
D.E. FREY & COMPANY, INC. (DENVER CO)
NY
05/22/1995 - 01/11/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 02/23/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/22/2006
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 09/22/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/19/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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