James S. Falcone

FULCRUM WEALTH ADVISORS

Bellevue, WA 98004

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CRD#: 2536341

Professional summary

James Stuart Falcone, AIF®, who also goes by James S Falcone, is a registered financial advisor currently at FULCRUM WEALTH ADVISORS, LLC located in Bellevue, Washington.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James S Falcone

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 James Stuart Falcone'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 27, 2014 - Present

FULCRUM WEALTH ADVISORS, LLC

Office #1: 10940 Ne 33rd Place, Suite 210, Bellevue, WA 98004

RIA

CRD#: 169277

Bellevue, WA

Past

June 29, 2023 - December 31, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BELLEVUE, WA

Past

September 3, 2013 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BELLEVUE, WA

Past

August 30, 2013 - December 31, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

BELLEVUE, WA

Past

June 8, 2009 - September 6, 2013

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

BELLEVUE, WA

Past

June 5, 2009 - September 6, 2013

OPPENHEIMER & CO. INC.

CRD#: 249

BELLEVUE, WA

Past

May 29, 2001 - June 26, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BELLEVUE, WA

Past

May 4, 2001 - June 26, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BELLEVUE, WA

Past

October 20, 1994 - May 18, 2001

PIPER SANDLER & CO.

CRD#: 665

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".

FULCRUM WEALTH ADVISORS, LLC

CRD#: 169277 / SEC#: 801-130305

RIA

Registered Investment Advisory firm - (5/20/2024 Approved)

Washington

Registered Investment Advisory firm - (6/20/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/30/2026)

IAR

Washington
(3/27/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/2/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/19/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/19/1994

General Securities Representative Examination

Current Firm

FULCRUM WEALTH ADVISORS, LLC

CRD#: 169277 / SEC#: 801-130305

RIA

Registered Investment Advisory firm - (5/20/2024 Approved)

Washington

Registered Investment Advisory firm - (6/20/2024 Terminated)

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Contact information

Main Address

10940 Ne 33rd Place, Suite 210, Bellevue, WA 98004

Mailing Address

Phone number

(425) 250-6280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FULCRUM WEALTH ADVISORS LLC FORM ADV PART 2A JAN 2026 (1/30/2026)

Regulatory assets under management

Total Number of Accounts	296
AUM (Assets Under Management)	$ 208,000,000

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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Advisor Monitoring

Firm Stability Insights

James S. Falcone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Stuart Falcone's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

Primary Firm SEC Registration

FULCRUM WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/1994

Series 63

Date: 10/26/1994

SIE

Date: 10/1/2018

Series 31

Date: 5/19/2006

Series 7

Date: 10/19/1994

Current Firm

FULCRUM WEALTH ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FULCRUM WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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