Raymond Difilippo has been President and Chief Compliance Officer of DBD Retirement and Financial Services since August 2023, is a control person of the firm and directly owns between 50% and 75% of it.
DBD Retirement and Financial Services, LLC is a firm with $134M under management, 21 clients and 1 adviser in one office, as of its September 2026 filing.
Ray Di Filippo launched his first business, providing tools and shop equipment to the automotive and truck repair industry, in his early twenties and sold it ten years later. He then worked for a larger organization with small and mid-sized business owners and has held various corporate and executive positions in multiple industries over the past 30 years. At DBD Retirement and Financial Services, LLC, he works with people on solutions for their retirement assets.
Raymond Difilippo’s longest registration was 4 years at J. W. Cole Advisors, Inc. (2019–2023). Before joining DBD Retirement and Financial Services in 2023, Raymond Difilippo was registered through J. W. Cole Advisors, Inc. and MML Investors Services, LLC.
- – present · 2 yearsManassas, VA · Adviser representative · Firm CRD 328239
- J. W. Cole Advisors, Inc.– · 4 yearsManassas, VA · Adviser representative · Firm CRD 112294
- MML Investors Services, LLC– · under a yearFairfax, VA · Adviser representative · Firm CRD 10409
Investment adviser representative registrations
Raymond Difilippo is registered as an investment adviser representative in Virginia, since December 2023.
- VirginiaSince 14 December 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 8 March 2019 |
| Series 7TO | General Securities Representative Examination | 8 February 2019 |
| SIE | Securities Industry Essentials Examination | 19 November 2018 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Raymond T Difilippo
- CRD
- 7025249
- Firm
- DBD Retirement and Financial Services · CRD 328239
- Role
- President and Chief Compliance Officer
- Office
- Manassas, VA
- Registration
- Investment adviser registration
- In the industry since
- February 2019
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- dbdfinancial.com
Where does Raymond Difilippo work?
Raymond Difilippo has been President and Chief Compliance Officer of DBD Retirement and Financial Services, LLC since August 2023, and is a control person of the firm.
Is Raymond Difilippo a financial advisor?
Yes. Raymond Difilippo has a current investment-adviser registration in Virginia, through DBD Retirement and Financial Services since December 2023.
How many years of experience does Raymond Difilippo have?
Raymond Difilippo has 7 years in the financial industry, since February 2019, across 3 adviser firms.
What exams has Raymond Difilippo passed?
Raymond Difilippo has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in November 2018.
Where did Raymond Difilippo work before DBD Retirement and Financial Services?
Before DBD Retirement and Financial Services, Raymond Difilippo was registered through MML Investors Services, LLC, March 2019 to October 2019.
Where is Raymond Difilippo based?
Raymond Difilippo’s registered office is in Manassas, VA.
Is Raymond Difilippo registered with FINRA?
No. Raymond Difilippo has no current broker registration.
How can I verify Raymond Difilippo’s record?
Search CRD 7025249 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Raymond Difilippo’s full registration record.