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John Bradley Fallon

Third Seven Capital LLC

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About John Bradley Fallon

John Bradley Fallon is a financial advisor with over 27 years of experience in the industry. He is currently registered with Third Seven Capital LLC and is licensed in 13 states. John has a strong background in the financial industry, having worked for various firms, including Credit Suisse Securities (USA) LLC, Cowen and Company, Donaldson, Lufkin & Jenrette Securities Corporation, and Hanifen, Imhoff Inc. John is a Series 7, Series 10, and Series 9 licensed professional and holds a Series 63 license.

Firm Information

John Fallon is currently registered with Third Seven Capital LLC. Third Seven Capital LLC is a Limited Liability Company formed on July 6, 2011, with a status of Approved. The firm is registered in all 50 states and the District of Columbia, as well as Puerto Rico and the Virgin Islands. Third Seven Capital LLC has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

34

Total Financial Advisors

Services Offered

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.

Fee Structure

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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John Fallon’s Registration & Firm History

NY

12/02/2021 - Present

Third Seven Capital LLC (NEW YORK NY)

CT

04/11/2019 - 12/01/2021

WAYPOINT DIRECT INVESTMENTS, LLC (STAMFORD CT)

CO

05/16/2016 - 09/19/2018

BTIG, LLC (Denver CO)

CA

08/03/2007 - 05/12/2016

CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)

CO

04/04/2001 - 06/07/2007

COWEN AND COMPANY (DENVER CO)

NY

10/10/2000 - 04/10/2001

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NJ

04/30/1999 - 10/10/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

CO

02/23/1998 - 04/09/1999

HANIFEN, IMHOFF INC. (DENVER CO)

CO

07/26/1996 - 02/23/1998

HANIFEN, IMHOFF INC. (DENVER CO)

NJ

03/08/1995 - 07/23/1996

MORAN & ASSOCIATES, INC. SECURITIES BROKERAGE (RED BANK NJ)

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Licenses & Designations

BC

Issued 03/16/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/24/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/03/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 09/19/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Bradley Fallon.
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