Carmine Filippone

Current Employers

Employment History

• 06/2004 → Present
  Rudinger & Heller Llp
  White Plains, NY
• 08/2005 → 09/2025
  Avantax Investment Services, Inc.
  White Plains, NY
• 06/2018 → Present
  N/A - Fixed Insurance Sales
  White Plains, NY
• 11/2005 → 09/2025
  Avantax Insurance Agency, Llc
  White Plains, NY
• 06/2007 → 09/2025
  Avantax Advisory Services
  White Plains, NY
• 10/2005 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services
  White Plains, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  White Plains, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-08-19 → 2025-09-05
  Avantax Advisory Services
  White Plains, NY

Other Businesses

1) Heller & Filippone LLP~'NIR'~235 MAIN STREET, Suite 440~WHITE PLAINS~NY~10601~Tax Preparation/Accounting~Partner/General Partner~6/13/2014~160hrs~160hrs~tax prep, accounting, payroll 2) HF Financial Group, LLC~'NIR'~235 Main Street, Suite 440~White Plains~NY~10601~DBA~Partner/General Partner~6/20/2014~10hrs~10hrs~mortgage consulting, insurance planning, tax planning 3) ENCHANTED VALLEY LLC~'NIR'~2334 sherry drive~yorktown heights~NY~10598~Rental Property~Owner~11/15/2017~2hrs~2hrs~MANAGE THE RENTAL ACTIVITY 4) 254 MAIN REALTY LLC; POSITION: MEMBER NATURE: This entity will be purchasing real estate for purposes of rental activity. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2021; ADDRESS: 2334 SHERRY DRIVE, YORKTOWN HEIGHTS NY 10598, United States DESCRIPTION: I will be involved with the negotiation and purchase of the property. The monthly rental management will be handled by a management company. 5) 1089 CLARYVILLE ROAD LLC POSITION: Member NATURE: Rental Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/06/2021 ADDRESS: 2334 Sherry Drive, Yorktown Heights NY 10598, United States; DESCRIPTION: Manage rental activities 6) NIDA HOLDINGS LLC POSITION: Member NATURE: THIS ENTITY IS A HOLDING COMPANY THAT INVESTS IN PRIVATE, PASSIVE RENTAL REAL ESTATE SUCH AS RESIDENTIAL RENTALS. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2016; ADDRESS: 2334 sherry drive, yorktown heights NY 10598, United States; DESCRIPTION: AS THE MANAGER OF THE LLC, I MAKE THE INVESTMENT DECISIONS. I DECIDE WHICH REAL ESTATE PROJECTS TO INVEST IN. 7) FILIPPONE REAL ESTATE LLC POSITION: MEMBER NATURE: Single family residential real estate investment. The current project involves the purchase, renovation and sale of a single family home. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/18/2023 ADDRESS: 2334 Sherry Drive, Yorktown Heights NY 10598, United States DESCRIPTION: Manage day to day activities and make company decisions. Decide which property to purchase, what renovations to make, what contractors to hire, what real estate agent to use, etc.

Exams

• S63 Uniform Securities Agent State Law Examination
  2005-10-25