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Irene A. Fan

Some features on this profile are disabled
CRD#: 1562447
IF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Irene Ailin Fan was a registered financial professional .

Irene is a previously registered financial professional and started their career in finance in 1986. Irene had worked at 11 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 28, 2015 - August 10, 2018

FALCON SQUARE CAPITAL, LLC

BD
CRD#: 165225
Oakland, CA
Past

July 9, 2014 - July 6, 2015

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
San Francisco, CA
Past

August 15, 2012 - December 19, 2013

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

June 30, 2011 - July 5, 2012

PIPER SANDLER & CO.

BD
CRD#: 665
SAN FRANCISCO, CA
Past

July 19, 2010 - June 17, 2011

BTIG, LLC

BD
CRD#: 122225
SAN FRANCISCO, CA
Past

October 2, 2008 - July 14, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
SAN FRANCISCO, CA
Past

October 3, 2005 - June 3, 2008

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
SAN FRANCISCO, CA
Past

October 6, 2004 - August 15, 2005

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

April 9, 2002 - October 4, 2004

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

February 9, 1998 - November 30, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 14, 1992 - February 2, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 22, 1986 - July 16, 1990

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/17/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/10/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/5/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination

Current Firm

FS
FALCON SQUARE CAPITAL, LLC
FALCON SQUARE CAPITAL, LLC | HCG

CRD#: 165225 / SEC#: , 8-69147

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
Mailing Address
3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
Phone number
(919) 825-1534
Established
North Carolina since 04/02/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PENDERGRASS, MELISSA JOINESCEO, CFO, CCO5392765
CUNNINGHAM, SCOTT LINDSAYMEMBER4829676
WALL, BRAXTON CRAVENMEMBER5557276
WRIGHT, KEATON THOMASMEMBER5703087
PORTWOOD, WILLIAM BOYCEFINOP4853700

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FALCON SQUARE CAPITAL, LLC

CRD#: 165225

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