Garrett W. Falzone
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.
Garrett Wayne Falzone was a registered financial professional .
Garrett is a previously registered financial professional and started their career in finance in 1995. Garrett had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2009 - November 17, 2015
JEFFERIES LLC
September 22, 2008 - December 10, 2008
BARCLAYS CAPITAL INC.
June 27, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
August 4, 1999 - May 19, 2003
GLEACHER & COMPANY SECURITIES, INC.
June 27, 1997 - July 30, 1999
PRUDENTIAL EQUITY GROUP, LLC
February 4, 1997 - June 18, 1997
CIBC WORLD MARKETS CORP.
July 13, 1995 - January 24, 1997
GMS GROUP
March 14, 1995 - July 7, 1995
SAMUEL A. RAMIREZ & COMPANY, INC.
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
Current Firm
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
Red Flags
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