David M. Fallon
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.
David Morgan Fallon, who also goes by David M Fallon, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2008 - September 23, 2021
BTIG, LLC
April 10, 2008 - July 11, 2008
G-2 TRADING,LLC
November 23, 1998 - March 24, 2008
FIRST NEW YORK SECURITIES L.L.C.
July 25, 1996 - August 28, 1996
BRENNER SECURITIES CORPORATION
July 11, 1996 - June 23, 1998
LOEWENBAUM & COMPANY INCORPORATED
May 15, 1995 - August 28, 1996
BRENNER SECURITIES CORPORATION
April 29, 1994 - May 18, 1995
J.P. MORGAN SECURITIES LLC
August 31, 1992 - May 4, 1994
PRUDENTIAL EQUITY GROUP, LLC
July 24, 1992 - August 25, 1992
GRUNTAL & CO., L.L.C.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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