Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Connie? Claim Your ProfileConnie Falon is a financial advisor with Commonwealth Financial Network. Connie has been in the financial industry since 1994. Connie specializes in helping individuals, families, and businesses achieve their financial goals. Connie holds several licenses and certifications, including the Series 7, Series 6, Series 63, and Series 65. Connie is registered with the state of Washington. Connie is also a member of several industry organizations, including the National Association of Personal Financial Advisors (NAPFA). Connie has experience working with Wells Fargo Advisors Financial Network, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Connie is committed to providing her clients with personalized financial advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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WA
09/16/2015 - Present
Commonwealth Financial Network (Yakima WA)
WA
07/29/2011 - 09/18/2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (YAKIMA WA)
WA
06/01/2009 - 08/08/2011
MORGAN STANLEY SMITH BARNEY (YAKIMA WA)
WA
01/19/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (YAKIMA WA)
WA
07/22/1999 - 01/23/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (KENNEWICK WA)
MN
09/03/1997 - 10/07/1998
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
OR
06/29/1994 - 09/03/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
IA
Issued 10/25/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/14/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1999
Series 7 - General Securities Representative Examination
BC
Issued 06/28/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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