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Daniel Edward Filippi
DANIEL E FILIPPI, DANIEL EDWARD FILIPPI, Dan Filippi
CRD#: 3179988
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 405 Colorado St
Floor 25 & 24
Austin, TX 78701
Floor 25 & 24
Austin, TX 78701
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Disclosures
8
Years of Experience
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State Registrations
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Alabama 10/27/2023
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Nebraska 10/27/2023
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Alaska 10/27/2023
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Nevada 10/27/2023
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Arizona 10/27/2023
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New Hampshire 10/27/2023
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Arkansas 10/27/2023
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New Jersey 10/27/2023
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California 10/27/2023
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New Mexico 10/27/2023
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Colorado 10/27/2023
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New York 10/27/2023
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Connecticut 10/27/2023
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North Carolina 10/27/2023
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Delaware 10/27/2023
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North Dakota 10/27/2023
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District of Columbia 10/27/2023
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Ohio 10/27/2023
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Florida 10/27/2023
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Oklahoma 10/27/2023
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Georgia 10/27/2023
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Oregon 10/27/2023
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Hawaii 10/27/2023
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Pennsylvania 10/27/2023
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Idaho 10/27/2023
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Puerto Rico 10/27/2023
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Illinois 10/27/2023
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Rhode Island 10/27/2023
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Indiana 10/27/2023
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South Carolina 10/27/2023
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Iowa 10/27/2023
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South Dakota 10/27/2023
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Kansas 10/27/2023
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Tennessee 10/27/2023
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Kentucky 10/27/2023
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Texas 10/27/2023
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Louisiana 10/27/2023
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Texas 10/27/2023
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Maine 10/27/2023
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Utah 10/27/2023
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Maryland 10/27/2023
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Vermont 10/27/2023
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Massachusetts 10/27/2023
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Virgin Islands 10/27/2023
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Michigan 10/27/2023
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Virginia 10/27/2023
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Minnesota 10/27/2023
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Washington 10/27/2023
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Mississippi 10/27/2023
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West Virginia 10/27/2023
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Missouri 10/27/2023
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Wisconsin 10/27/2023
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Montana 10/27/2023
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Wyoming 10/27/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 10/27/2023
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Registered with this firm since 10/27/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/20/2021 - 10/31/2023 | AUSTIN, TX | |
B | 08/20/2021 - 10/31/2023 | AUSTIN, TX | |
IA | 02/02/2017 - 08/26/2021 | AUSTIN, TX | |
B | 12/12/2016 - 08/26/2021 | AUSTIN, TX | |
B | 02/02/1999 - 02/22/1999 | PHOENIX, AZ |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.