CF
Christine F. Falco
DOMINARI SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 1877600
CF
Professional summary
Christine Frances Falco, who also goes by Christine F Falco, Tina Falco, is a registered financial professional currently at DOMINARI SECURITIES LLC located in New York, New York.
Christine is registered as a RR (Registered Representative) and started their career in finance in 1992. Christine has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Christine F Falco | Tina Falco
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.
CRS (Client Relationship Summary) - BD
Click below to view Christine Frances Falco's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 9, 2024 - Present
DOMINARI SECURITIES LLC
Office #1: 725 Fifth Avenue 23rd Fl., New York, NY, 10022RIA
BD
CRD#: 18975
New York, NY
Past
April 14, 2021 - November 22, 2024
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
September 29, 2016 - January 8, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
April 30, 2002 - January 17, 2003
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
June 25, 1999 - July 25, 2016
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
May 11, 1992 - June 8, 1999
R. LEWIS SECURITIES, INC.
BD
CRD#: 7705
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(12/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Mailing Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Phone number
(212) 393-4500
Established
Delaware since 04/05/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
11
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINARI FINANCIAL, INC. | OWNER | |
| CAMPBELL, ROBERT NMN | FINOP | 1349154 |
| DEIGNAN, EDWARD PHILIP JR | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4597976 |
| MERCADO, JAIME | CHIEF COMPLIANCE OFFICER, AMLCO | 2863760 |
| NEWMAN, ERIC | EVP/ROP | 2509259 |
| WILLIAMS, JOHN MARSHALL | COMPLIANCE OFFICER | 2833948 |
| WOOL, KYLE MICHAEL | CEO/ PRESIDENT | 4238101 |
Regulatory assets under management
| Total Number of Accounts | 235 |
| AUM (Assets Under Management) | $ 41,647,787 |
Disclosures
| Regulatory Event | 5 |
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.
