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Justin Michael Filippone

Cetera Investment Advisers LLC

Latham, NY

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-01-25
NY RA APPROVED 2021-03-31
  • TX RA
    APPROVED_RES
    Since 2024-01-25
  • NY RA
    APPROVED
    Since 2021-03-31

Branch Locations

19 British American Blvd East, Latham, NY 12110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foresters Financial Services Latham NY 10/2015 01/2019
Foresters Advisory Services Latham NY 08/2016 06/2019
Foresters Financial Services Latham NY 01/2019 06/2019
Cetera Investment Advisers Llc Latham NY 06/2019 Present
Cetera Investment Services Llc St. Cloud MN 06/2019 Present
  • 10/2015 → 01/2019
    Foresters Financial Services
    Latham, NY
  • 08/2016 → 06/2019
    Foresters Advisory Services
    Latham, NY
  • 01/2019 → 06/2019
    Foresters Financial Services
    Latham, NY
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    Latham, NY
  • 06/2019 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
Previous Registrations
  • 2016-09-14 → 2019-06-24
    Foresters Advisory Services, Llc
    Latham, NY
Other Businesses

1. PARTNER OF IRON TREE FINANCIAL; DBA FOR CETERA BUSINESS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-08-16
S63 Uniform Securities Agent State Law Examination 2014-03-17
  • S65 Uniform Investment Adviser Law Examination
    2016-08-16
  • S63 Uniform Securities Agent State Law Examination
    2014-03-17

View on SEC IAPD

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Other Investors

Becky M Sciortino
CHRISTOPHER MICHAEL INGEMIE
DAVID P MARTIN
DANIEL SCOTT SULLIVAN
Nicholas Arthur Mattiello
John Michael Daniels
Zachary T Rupert
Christopher Welfley

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LATHAM, NY
AMERIPRISE FINANCIAL SERVICES, LLC · Latham, NY
EAGLE STRATEGIES LLC · LATHAM, NY
MML INVESTORS SERVICES, LLC · LATHAM, NY
CAPABLE WEALTH, LLC · LATHAM, NY
LPL FINANCIAL LLC · LATHAM, NY
LPL FINANCIAL LLC · LATHAM, NY
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · LATHAM, NY

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