Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Vincent Fallon is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Frank has been in the industry since 2008 and holds a Series 7, 63, 65, and 66 license. Previously, Frank was with MetLife Securities Inc., New England Securities, and David Lerner Associates, Inc. Frank offers investment advisory services to individuals, businesses, charitable organizations, insurance companies, and pension and profit-sharing plans. Frank is a member of the Financial Industry Regulatory Authority (FINRA) and is licensed in New Jersey, New York, and Florida.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
04/13/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MANASQUAN NJ)
NJ
01/02/2015 - 03/09/2016
METLIFE SECURITIES INC. (PRINCETON NJ)
NJ
04/19/2010 - 01/02/2015
NEW ENGLAND SECURITIES (PRINCETON NJ)
NJ
06/19/2008 - 01/19/2010
DAVID LERNER ASSOCIATES, INC. (PRINCETON NJ)
BOTH
Issued 04/11/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/06/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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