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PF

Paul A. Falcon

PAR5 CAPITAL & CO LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 2464566
PF

Professional summary

Paul Anthony Falcon, who also goes by Paul Anthony Falcon Jr, Paul Falcon, is a registered financial advisor currently at PAR5 CAPITAL & CO LLC located in Miami, Florida.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Anthony Falcon Jr | Paul Falcon

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) - BD

Click below to view Paul Anthony Falcon'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®
None

Experience

Current

April 4, 2023 - Present

PAR5 CAPITAL & CO LLC

Office #1: 600 Brickell Avenue Suite 2520, Miami, FL 33131
BD
CRD#: 134657
Miami, FL
Past

July 19, 2013 - August 9, 2021

AEGIS CAPITAL CORP.

BD
CRD#: 15007
BOCA RATON, FL
Past

September 16, 2011 - July 18, 2013

LEVELX CAPITAL LLC

BD
CRD#: 117028
BROOKLYN, NY
Past

August 27, 2009 - August 30, 2011

STATETRUST INVESTMENTS INC.

BD
CRD#: 104651
BOCA RATON, FL
Past

April 22, 2008 - August 25, 2009

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
SUNRISE, FL
Past

October 1, 2000 - August 11, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
HIALEAH, FL
Past

October 1, 2000 - August 11, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
HIALEAH, FL
Past

February 4, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

March 15, 1996 - July 16, 1999

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

June 14, 1995 - March 6, 1996

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

June 10, 1994 - March 2, 1995

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

March 14, 1994 - May 20, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

March 14, 1994 - May 20, 1994

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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
Florida
(5/25/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/1/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/18/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/15/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/15/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/25/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/11/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/15/2022
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/15/2022
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PAR5 CAPITAL & CO LLC
GLOBAL CREDIT PARTNERS, LLC | PAR5 CAPITAL & CO LLC

CRD#: 134657 / SEC#: , 8-66850

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
600 Brickell Avenue Suite 2520, Miami, FL 33131
Mailing Address
600 Brickell Avenue Suite 2520, Miami, FL 33131
Phone number
(786) 638-5650
Established
Delaware since 11/23/2004
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PAR HOLDINGS, LLCMEMBER
AJMANI, AJIT SINGHPRESIDENT5188424
GEORGE, THOMAS KEITHFINOP5378303
LOUDON, DENNIS EDWARDCEO & COO1146852
REID, LISA N.CHIEF COMPLIANCE OFFICER4915043

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.

Company Information

PAR5 CAPITAL & CO LLC

CRD#: 134657Miami, FL 33131

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