Gordon E. Fallone
Professional summary
Gordon Eliot Fallone, who also goes by Gordon E Fallone, Gordon Elliot Fallone, is a registered financial advisor currently at UHLMANN INVESTMENT MANAGEMENT, L.L.C. located in Mill Valley, California and UHLMANN PRICE SECURITIES, LLC located in Skokie, Illinois.
Gordon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Gordon has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gordon Eliot Fallone's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2017 - Present
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
November 20, 2017 - Present
UHLMANN PRICE SECURITIES, LLC
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077October 12, 2015 - October 17, 2016
ROBERTSON STEPHENS ADVISORS
October 12, 2015 - October 17, 2016
ROBERTSON STEPHENS SECURITIES
January 24, 2013 - September 18, 2015
ROTH CAPITAL PARTNERS, LLC
January 24, 2013 - September 18, 2015
ROTH CAPITAL PARTNERS, LLC
January 11, 2011 - November 19, 2012
ADVANCED EQUITIES, INC.
May 30, 2007 - November 19, 2012
ADVANCED EQUITIES, INC.
January 25, 2006 - May 31, 2007
LEGEND MERCHANT GROUP, INC.
March 14, 2001 - January 23, 2006
TRAUTMAN WASSERMAN & COMPANY, INC.
March 6, 1995 - April 5, 2001
SANDS BROTHERS & CO., LTD.
February 10, 1993 - March 15, 1995
GRUNTAL & CO., L.L.C.
October 7, 1991 - February 17, 1993
LEHMAN BROTHERS INC.
August 23, 1990 - October 8, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 18, 1990 - September 5, 1990
FINANCIAL SQUARE PARTNERS
September 29, 1988 - January 22, 1990
RODMAN & RENSHAW INC.
February 17, 1988 - August 24, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CRD#: 118025 / SEC#: 801-113188
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/15/2017)
(3/19/2018)
(11/20/2017)
(1/4/2019)
(4/16/2018)
(3/27/2018)
(4/11/2018)
(1/26/2018)
(11/21/2017)
(11/21/2017)
(9/5/2018)
(9/20/2022)
(9/15/2022)
(9/16/2022)
(9/23/2022)
(3/29/2018)
(4/2/2018)
(4/5/2019)
(1/26/2018)
(3/21/2018)
(5/21/2018)
(1/25/2018)
(4/11/2018)
Exams
Series 8
Date: 5/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CRD#: 118025 / SEC#: 801-113188
Contact information
SEC notice filing (30 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 273,182,000 |
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.
