JF
James S. Falcone
FULCRUM WEALTH ADVISORS
Bellevue, WA 98004
Some features on this profile are disabled
CRD#: 2536341
JF
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 and CETERA INVESTMENT ADVISERS LLC located in Bellevue, Washington.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 08/2013, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. FULCRUM WEALTH ADVISORS, LLC, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, OUTSIDE RIA - ADVISORY BUSINESS, START 08/2013, 40HRS/WK (32.5 TRADING HOURS), OWNER, CHEIF COMPLIANCE OFFICER, INVESTMENT ADVISOR REPRESENTATIVE; 3.. NAME OF OTHER BUSINESS: COLLEGE CLUB OF SEATTLE INVESTMENT RELATED: NO ADDRESS: 11 E ALLEN ST., SEATTLE, WA 98102 NATURE OF BUSINESS: SOCIAL CLUB START DATE: 7/2014 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: OVERSEE OPERATIONS 4. NAME OF OTHER BUSINESS: WESTERN WASHINGTON UNIVERSITY INVESTMENT RELATED: NO ADDRESS: 516 HIGH ST, BELLINGHAM, WA 9825 NATURE OF BUSINESS: EDUCATIONAL INSTITUTION START DATE: 11/2014POSITION/TITLE/RELATIONSHIP: INVESTMENT COMMITTEE AT COLLEGE OF BUSINESS & ECONOMICS APX NUMBER OF HOURS PER WEEK: 1 NONE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REVIEW COLLEGE STUDENT ANALYSIS OF COMPANIES. 5. NAME OF OTHER BUSINESS: FRIENDS OF YOUTH INVESTMENT RELATED: NO ADDRESS: 13116 NE 132ND ST. KIRKLAND WA 98034 NATURE OF BUSINESS: SERVICES TO YOUTH & THEIR FAMILIES START DATE: 9/2016 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF TRADING HOURS PER WEEK: 1 POSITION/TITLE/RELATIONSHIP: AUDIT COMMITTEE BRIEF DESCRIPTION OF DUTIES: REVIEW TAX AUDIT & MAKE RECOMMENDATIONS TO THE FINANCE COMMITTEE 6. NAME OF OTHER BUSINESS: CHATEAU RETIREMENT COMMUNITY; INVESTMENT RELATED: NO; ADDRESS: 15029 WOODINVILLE-REDMOND ROAD NE #200 WOODINVILLE, WA 98072 NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, LEND EXPERTISE IN RUNNING THE ORGANIZATION;
CRS (Client Relationship Summary) - RIA
Click below to view James Stuart Falcone's 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®
Experience
Current
March 27, 2014 - Present
FULCRUM WEALTH ADVISORS, LLC
Office #1: 10940 Ne 33rd Place, Suite 210, Bellevue, WA 98004RIA
CRD#: 169277
Bellevue, WA
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10801 Main St Ste 201, Bellevue, WA 98004RIA
CRD#: 105644
BELLEVUE, WA
Current
August 30, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10940 Ne 33rd Place, Ste 210, Bellevue, WA 98004BD
CRD#: 13572
Bellevue, WA
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
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.
BD
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.
BD
CRD#: 8174
BELLEVUE, WA
Past
October 20, 1994 - May 18, 2001
PIPER SANDLER & CO.
BD
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Arizona(8/30/2013)
RR
California(8/30/2013)
RR
Maryland(8/30/2013)
RR
Montana(12/26/2023)
RR
Nevada(8/30/2013)
RR
North Carolina(1/13/2017)
RR
Oregon(8/30/2013)
RR
Texas(6/15/2020)
IAR
Texas(6/29/2023)
RR
Utah(3/24/2023)
RR
Virginia(8/30/2013)
RR
Washington(9/3/2013)
IAR
Washington(3/27/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
