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JF

John B. Fallon

THIRD SEVEN CAPITAL LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2582373
JF

Professional summary

John Bradley Fallon is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut.

John is registered as a RR (Registered Representative) and started their career in finance in 1995. John has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 John Bradley Fallon'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

December 2, 2021 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
BD
CRD#: 160209
Greenwich, CT
Past

April 11, 2019 - December 1, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
STAMFORD, CT
Past

May 16, 2016 - September 19, 2018

BTIG, LLC

BD
CRD#: 122225
Denver, CO
Past

August 3, 2007 - May 12, 2016

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
SAN FRANCISCO, CA
Past

April 4, 2001 - June 7, 2007

COWEN AND COMPANY

BD
CRD#: 7616
DENVER, CO
Past

October 10, 2000 - April 10, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 30, 1999 - October 10, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

February 23, 1998 - April 9, 1999

HANIFEN, IMHOFF INC.

BD
CRD#: 44469
DENVER, CO
Past

July 26, 1996 - February 23, 1998

HANIFEN, IMHOFF INC.

BD
CRD#: 2126
DENVER, CO
Past

March 8, 1995 - July 23, 1996

PHILLIP LOUIS TRADING, INC.

BD
CRD#: 19378
RED BANK, NJ

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
Arizona
(5/13/2025)
RR
California
(3/30/2022)
RR
Colorado
(12/2/2021)
RR
Connecticut
(7/22/2025)
RR
District of Columbia
(3/30/2022)
RR
Florida
(3/30/2022)
RR
Kansas
(3/30/2022)
RR
Kentucky
(3/30/2022)
RR
Louisiana
(3/30/2022)
RR
New Jersey
(3/30/2022)
RR
New York
(12/2/2021)
RR
North Carolina
(6/21/2022)
RR
Pennsylvania
(3/30/2022)
RR
Texas
(3/30/2022)
RR
Vermont
(3/30/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 3/16/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/7/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/24/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/3/2002
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

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

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

Disclosures

Regulatory Event1

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

THIRD SEVEN CAPITAL LLC

CRD#: 160209Greenwich, CT 06830

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