Stephen Wayne Defilippis

Current Employers

Employment History

• 05/1987 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 05/1997 → 01/2022
  Swd Enterprises Ltd
  Wheaton, IL
• 02/1998 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 11/2011 → 12/2021
  Defilippis Financial Group
  Wheaton, IL
• 09/2022 → 09/2022
  Parkview Pointe Condominium Association
  Lombard, IL
• 01/2022 → Present
  Defilippis Financial Group Llc;
  Wheaton, IL
• 01/2022 → Present
  Defilippis Financial Group Llc 401(K)
  Wheaton, IL
• 01/2025 → Present
  Dfg Wealth Management Llc
  Wheaton, IL

Other Businesses

1) GUARDIAN INSURANCE, NOT INV RELATED; WHEATON, IL; DISABILITY INSURANCE SALES; SINCE 05/15/2013; 1 HR/MONTH, 1 HR/MONTH DURING SECURITES TRADING HOURS: 2) NAME OF OTHER BUSINESS: 1751 PARK EAST OFFICE CONDOMINIMUM ASSOCIATION ; INVESTMENT RELATED: NO ; ADDRESS: 1751 S. NAPERVILLE RD WHEATON, IL 60189; NATURE OF BUSINESS: NON-PROFIT ; START DATE: 11/17/2025 ; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS, AND VOTE ON MATEERS THAT COME BEFORE THE BOARD; 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2021 ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH INSURANCE ; 4) NAME OF OTHER BUSINESS: DEFILIPPIS FINANCIAL GROUP LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND ACCOUNTING/TAX SERVICES; 5) NAME OF OTHER BUSINESS: DEFILIPPIS FINANCIAL GROUP LLC 401(K); INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: RETIREMENT PLAN, START DATE: 1/2022, POSITION/TITLE/RELATIONSHIP: PLAN ADMINISTRATOR AND TRUSTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: ADMINISTER COMPANIES 401(K) PLAN; 6) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 10/2024, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: RECEIVING RESIDUALS ONLY FOR LIFE INSURANCE. 7) NAME OF OTHER BUSINESS: DFG WEALTH MANAGEMENT LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2025; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES; 8) NAME OF OTHER BUSINESS: DFG PROPERTIES LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: MEMBER/OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE HOLDING COMPANY; 9) NAME OF OTHER BUSINESS: PARK EAST II OFFICE MASTER ASSOCIATION INVESTMENT RELATED: NO ADDRESS: 1751 S NAPERVILLE RD, WHEATON IL 60189 NATURE OF BUSINESS: BOAED START DATE: 11/17/2025 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS AND VOTE

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-10-07
• S63 Uniform Securities Agent State Law Examination
  1990-09-20