Jack Fallas
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.
Jack Fallas, who also goes by Jack Fallace, was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1969. Jack had worked at 7 firms and has passed the SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2002 - December 31, 2014
IMS SECURITIES, INC.
January 29, 1992 - December 31, 2001
MOMENTUM INDEPENDENT NETWORK INC.
January 11, 1989 - January 29, 1992
THE INVESTMENT CENTER, INC.
February 24, 1976 - January 25, 1989
PRINCIPAL FINANCIAL SECURITIES,INC.
October 4, 1973 - February 14, 1976
LENTZ, NEWTON & CO.
June 29, 1973 - January 16, 1974
FINANCIAL SQUARE PARTNERS
August 27, 1969 - January 17, 1974
ROWLES, WINSTON & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 8/8/1977
AMEX Put and Call ExamSeries 1
Date: 3/30/1960
Registered Representative ExaminationSeries 40
Date: 8/4/1969
Registered Principal ExaminationCurrent Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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.
