Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marc? Claim Your ProfileMarc Joseph Filipponi is a financial professional with over 30 years of experience in the industry. Marc has a proven track record of success in providing investment advice and portfolio management services to a wide range of clients, including individuals, businesses, and institutions. Marc is currently registered with Robert W. Baird & Co. Inc., a leading financial services firm with a strong reputation for integrity and client service. Prior to joining Robert W. Baird & Co. Inc., Marc held positions at several other prominent firms, including CRT Capital Group LLC, Sterne, Agee & Leach, Inc., Jefferies & Company, Inc., Bear, Stearns & Co. Inc., Brenner Securities Corporation, and Smith Barney Shearson Inc. Marc is licensed to provide investment advice in 17 states and holds the Series 63, Series 7 and SIE licenses. Marc specializes in a variety of investment areas, including stocks, bonds, mutual funds, and alternative investments. Marc is committed to providing clients with personalized financial advice and helping them achieve their financial goals.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
CT
08/24/2015 - Present
Robert W. Baird & Co. Inc. (STAMFORD CT)
NY
04/20/2015 - 06/15/2015
CRT CAPITAL GROUP LLC (New York NY)
NY
08/02/2010 - 04/20/2015
STERNE, AGEE & LEACH, INC. (NEW YORK NY)
NY
04/26/2002 - 06/17/2010
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
09/02/1994 - 05/09/2002
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
09/21/1993 - 09/15/1994
BRENNER SECURITIES CORPORATION
NY
12/10/1990 - 08/25/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
BC
Issued 12/21/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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