Faron L. Gallon
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.
Faron Lawayne Gallon, ChFC®, who also goes by Faron L Gallon, was a registered financial professional .
Faron is a previously registered financial professional and started their career in finance in 1998. Faron had worked at 12 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2012 - December 31, 2012
ON INVESTMENT MANAGEMENT CO
February 29, 2012 - December 31, 2012
THE O.N. EQUITY SALES COMPANY
March 31, 2010 - October 20, 2011
MORGAN STANLEY
March 29, 2010 - October 20, 2011
MORGAN STANLEY
November 13, 2009 - March 17, 2010
PNC WEALTH MANAGEMENT LLC
December 21, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
October 12, 2006 - September 11, 2007
PRINCIPAL SECURITIES, INC.
November 3, 2005 - July 31, 2006
METROPOLITAN LIFE INSURANCE COMPANY
November 3, 2005 - July 31, 2006
MSI FINANCIAL SERVICES, INC.
October 17, 2000 - November 14, 2005
ALLSTATE FINANCIAL SERVICES, LLC
October 1, 2000 - November 22, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 28, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 1, 1998 - May 18, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
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
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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