Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Falcone is a financial professional with over 20 years of experience in the industry. David currently holds a Series 6, 7, 9, 10, 24, 63 and 65 licenses. David is currently registered with Sammons Financial Network, LLC, in West Des Moines, IA. Previously, David was registered with The O.N. Equity Sales Company, Pruco Securities, LLC., Hartford Equity Sales Company Inc., Quick & Reilly, Inc., Waddell & Reed, Inc., Metlife Securities Inc., Metropolitan Life Insurance Company and John Hancock Distributors, Inc..
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.
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.
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2
IA
05/31/2017 - Present
Sammons Financial Network, LLC (WEST DES MOINES IA)
OH
09/25/2014 - 04/21/2016
THE O.N. EQUITY SALES COMPANY (CINCINNATI OH)
LA
01/03/2013 - 05/20/2014
PRUCO SECURITIES, LLC. (METAIRIE LA)
LA
08/02/2004 - 01/02/2013
HARTFORD EQUITY SALES COMPANY INC. (METAIRIE LA)
NJ
09/04/2003 - 07/30/2004
PRUCO SECURITIES, LLC. (NEWARK NJ)
NY
10/26/2001 - 08/26/2003
QUICK & REILLY, INC. (NEW YORK NY)
KS
09/05/2000 - 10/18/2001
WADDELL & REED, INC. (OVERLAND PARK KS)
MA
08/04/1998 - 09/13/2000
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
08/04/1998 - 09/13/2000
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
MA
10/10/1997 - 07/28/1998
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
IA
Issued 07/03/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/08/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/12/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/19/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/28/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2000
Series 7 - General Securities Representative Examination
BC
Issued 10/09/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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