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JOHN VINCENT FILIPPONE
JOHN FILIPPONE
CRD#: 2600336
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 HIGHLANDS RANCH, CO
CETERA ADVISORS LLCCRD#: 10299 LONE TREE, CO
Registration History
19952000200520102015202020252 FIRMS2000 - 2000 (<1 year)BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2000 - 2022 (22 years)BWESTERN SECURITIES CLEARING CORP. (CRD# 36427)2002 - 2005 (2 years)BD.E. FREY & COMPANY, INC. (CRD# 23595)1996 - 2000 (4 years)BSMITH BARNEY INC. (CRD# 7059)1995 - 1996 (<1 year)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2010 - 2020 (9 years)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)2006 - 2012 (5 years)
License(s)

State Registrations

B
Alabama 9/8/2022

B
Montana 9/8/2022

B
Alaska 9/8/2022

B
Nebraska 9/8/2022

B
Arizona 9/8/2022

B
Nevada 9/8/2022

B
Arkansas 9/8/2022

B
New Hampshire 9/8/2022

B
California 9/8/2022

B
New Jersey 9/8/2022

IA
Colorado 11/12/2020

B
New Mexico 9/8/2022

B
Colorado 9/8/2022

B
New York 9/8/2022

B
Connecticut 9/8/2022

B
North Carolina 9/8/2022

B
Delaware 9/8/2022

B
North Dakota 9/8/2022

B
District of Columbia 9/8/2022

B
Ohio 9/8/2022

B
Florida 9/8/2022

B
Oklahoma 9/8/2022

B
Georgia 9/8/2022

B
Oregon 9/8/2022

B
Hawaii 9/8/2022

B
Pennsylvania 9/8/2022

B
Idaho 9/8/2022

B
Rhode Island 9/8/2022

B
Illinois 9/8/2022

B
South Carolina 9/8/2022

B
Indiana 9/8/2022

B
South Dakota 9/8/2022

B
Iowa 9/8/2022

B
Tennessee 9/8/2022

B
Kansas 9/8/2022

IA
Texas 11/12/2020

B
Kentucky 9/8/2022

B
Texas 9/8/2022

B
Louisiana 9/8/2022

B
Utah 9/8/2022

B
Maine 9/8/2022

B
Vermont 9/8/2022

B
Maryland 9/8/2022

B
Virginia 9/8/2022

B
Massachusetts 9/8/2022

B
Washington 9/8/2022

B
Michigan 9/8/2022

B
West Virginia 9/8/2022

B
Minnesota 9/8/2022

B
Wisconsin 9/8/2022

B
Mississippi 9/8/2022

B
Wyoming 9/8/2022

B
Missouri 9/8/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CETERA ADVISORS LLC (CRD#:10299)
LONE TREE, CO
5299 DTC BLVD #800, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 9/8/2022

IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
HIGHLANDS RANCH, CO
LONE TREE, CO
Registered with this firm since 11/12/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
B
09/29/2000 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) HIGHLANDS RANCH, CO
IA
12/09/2010 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) HIGHLANDS RANCH, CO
IA
10/31/2006 - 07/02/2012 FIRST ALLIED SECURITIES, INC. (CRD#:32444) HIGHLANDS RANCH, CO
B
12/10/2002 - 01/12/2005 WESTERN SECURITIES CLEARING CORP. (CRD#:36427) SAN DIEGO, CA
B
04/06/2000 - 10/26/2000 D.E. FREY & COMPANY, INC. (CRD#:23595) DENVER, CO
B
02/17/2000 - 03/30/2000 NEIDIGER, TUCKER, BRUNER, INC. (CRD#:7425) HIGHLANDS RANCH, CO
B
01/20/1996 - 02/23/2000 D.E. FREY & COMPANY, INC. (CRD#:23595) DENVER, CO
B
05/22/1995 - 01/11/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.