Richard J. Falck

FIRST HEARTLAND CONSULTANTS

NORTHFIELD, MN 55057

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CRD#: 2129169

Professional summary

Richard John Falck III, CFP®, ChFC®, CLU®, who also goes by Richard John Falck, is a registered financial advisor currently at FIRST HEARTLAND CONSULTANTS, INC. located in Northfield, Minnesota and FIRST HEARTLAND CAPITAL, INC. located in Northfield, Minnesota.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard John Falck

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) - RIA

Click below to view Richard John Falck III's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2003

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

January 7, 2014 - Present

FIRST HEARTLAND CONSULTANTS, INC.

Office #1: 509 Professional Drive, Northfield, MN 55057

RIA

CRD#: 110377

NORTHFIELD, MN

Current

December 16, 2002 - Present

FIRST HEARTLAND CAPITAL, INC.

Office #1: 509 Professional Dr., Northfield, MN 55057

CRD#: 32460

Northfield, MN

Past

July 1, 2002 - December 17, 2002

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

March 18, 1991 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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".

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND ADVISORS INC | FIRST HEARTLAND CONSULTANTS, INC.

CRD#: 110377 / SEC#: 801-46595

RIA

Registered Investment Advisory firm - (5/23/1994 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(3/10/2025)

Colorado
(2/27/2019)

Florida
(7/20/2018)

Georgia
(7/25/2024)

Illinois
(12/16/2002)

Iowa
(6/6/2019)

Minnesota
(12/16/2002)

IAR

Minnesota
(1/7/2014)

Missouri
(7/22/2019)

Nebraska
(1/2/2025)

North Carolina
(3/14/2005)

North Dakota
(8/24/2023)

IAR

Ohio
(4/11/2016)

Ohio
(2/28/2017)

Pennsylvania
(8/29/2017)

South Dakota
(2/1/2022)

Tennessee
(1/2/2025)

Texas
(2/14/2023)

IAR

Texas
(7/14/2023)

Wisconsin
(2/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/28/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND ADVISORS INC | FIRST HEARTLAND CONSULTANTS, INC.

CRD#: 110377 / SEC#: 801-46595

RIA

Registered Investment Advisory firm - (5/23/1994 Approved)

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Contact information

Main Address

4101 Lake St. Louis Blvd, Lake St. Louis, MO 63367

Mailing Address

Phone number

(636) 625-0900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST HEARTLAND CONSULTANTS, INC. (2/26/2025)

FIRST HEARTLAND CONSULTANTS INC. APPENDIX 1 TO FORM ADV PART 2A - FIRST HEARTLAND ASSET STRATEGIES WRAP FEE PROGRAM (2/26/2025)

FIRST HEARTLAND CONSULTANTS INC-APPENDIX I TO ADV PART 2A WRAP FEE PROGRAM (2/26/2025)

FIRST HEARTLAND CONSULTANTS, INC.-APPENDIX I TO FORM ADV PART 2A-RETIREMENT PLAN WRAP SERVICES (2/26/2025)

Regulatory assets under management

Total Number of Accounts	9,231
AUM (Assets Under Management)	$ 1,771,078,009

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/13/2025	Cover Page	Report
08/12/2024	Cover Page	Report
12/07/2023	Cover Page	Report

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.

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Richard J. Falck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Falck III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND CAPITAL, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

FIRST HEARTLAND CONSULTANTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/2000

Series 63

Date: 3/20/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1991

FINRA

Current Firm

FIRST HEARTLAND CONSULTANTS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST HEARTLAND CONSULTANTS, INC.

TRUST BUT VERIFY

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