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DF

David A. Falcone

PACIFIC SELECT DISTRIBUTORS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2937361
DF

Professional summary

David Anthony Falcone, who also goes by David A Falcone, is a registered financial professional currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Newport Beach, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David A 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) - BD

Click below to view David Anthony 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®
None

Experience

Current

January 26, 2026 - Present

PACIFIC SELECT DISTRIBUTORS, LLC

Office #1: 700 Newport Center Drive, Newport Beach, CA 92660
BD
CRD#: 4452
Newport Beach, CA
Past

May 31, 2017 - January 15, 2026

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

September 25, 2014 - April 21, 2016

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH
Past

January 3, 2013 - May 20, 2014

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
METAIRIE, LA
Past

August 2, 2004 - January 2, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
METAIRIE, LA
Past

November 12, 2003 - November 12, 2003

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
METAIRIE, LA
Past

September 4, 2003 - July 30, 2004

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

November 14, 2002 - August 26, 2003

QUICK & REILLY, INC.

RIA
CRD#: 11217
NEW ORLEANS, LA
Past

October 26, 2001 - August 26, 2003

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

September 5, 2000 - October 18, 2001

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

August 4, 1998 - September 13, 2000

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

August 4, 1998 - September 13, 2000

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

October 10, 1997 - July 28, 1998

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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
Louisiana
(1/26/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/3/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/8/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/9/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/12/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/19/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/28/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PACIFIC SELECT DISTRIBUTORS, LLC
PACIFIC EQUITY SALES COMPANY | PACIFIC SELECT DISTRIBUTORS, LLC | PACIFIC SELECT DISTRIBUTORS, INC. | PACIFIC SECURITIES | PACIFIC MUTUAL DISTRIBUTORS, INC. | PACIFIC MUTUAL DISTRIBURTORS, INC.

CRD#: 4452 / SEC#: , 8-15264

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

Main Address
700 Newport Center Drive, Newport Beach, CA 92660-6397
Mailing Address
700 Newport Center Drive, Newport Beach, CA 92660-6397
Phone number
(949) 219-6579
Established
Delaware since 01/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# 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)

Direct owners and executive officers

NamePositionCRD#
PACIFIC LIFE INSURANCE COMPANYPARENT OF APPLICANT
DARE, BARBARA ALYCEVICE PRESIDENT5074108
KISSEL, GEOFFREY PCHIEF EXECUTIVE OFFICER7499710
LA ROQUE, SUZANNE MARIEASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER4222767
SMITH, TREVOR TIMOTHYVICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER4844953
YAMAUCHI, STARLA CHINVICE PRESIDENT, CORPORATE SECRETARY7721024

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

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452Newport Beach, CA 92660

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