John Vincent Filippone

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2000 → 09/2022
  First Allied Securities Inc
  San Diego, CA
• 12/2010 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → 11/2020
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Greenwood Village, CO
• 11/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2010-12-09 → 2020-11-12
  First Allied Advisory Services, Inc.
  Highlands Ranch, CO
• 2006-10-31 → 2012-07-02
  First Allied Securities, Inc.
  Highlands Ranch, CO
  Highland Ranch, CO
  San Diego, CA
  Highlands Ranch, CO

Other Businesses

1. NAME OF OTHER BUSINESS: OPEN DOOR MINISTRIES; INVESTMENT RELATED: NO; ADDRESS: P.O. BOX 18018, DENVER, CO 80218; NATURE OF BUSINESS: BOARD; START DATE: 3/2026; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE AS A LIAISON BETWEEN MY LOCAL CHURCH AND THE MINISTRY;

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-02-23
• S63 Uniform Securities Agent State Law Examination
  1996-04-01

Other Names

• John Filippone