AF
Alexander A. Fallon
FUNDS DISTRIBUTOR
BOSTON, MA 02109
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CRD#: 4203336
AF
Professional summary
Alexander Atticus Fallon, who also goes by Atticus A. Fallon, is a registered financial professional currently at FUNDS DISTRIBUTOR, LLC located in Boston, Massachusetts.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 2000. Alexander has worked at 7 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Atticus A. Fallon
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.
CRS (Client Relationship Summary) - BD
Click below to view Alexander Atticus Fallon'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®
NoneExperience
Current
November 24, 2020 - Present
FUNDS DISTRIBUTOR, LLC
Office #1: 53 State Street 33rd Floor, Boston, MA 02109BD
CRD#: 7174
BOSTON, MA
Past
January 13, 2016 - November 4, 2019
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
May 14, 2013 - November 4, 2015
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
August 16, 2007 - April 24, 2013
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
NEW YORK, NY
Past
April 19, 2005 - March 9, 2007
UST SECURITIES CORP.
BD
CRD#: 13906
NEW YORK, NY
Past
August 28, 2002 - February 1, 2005
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
August 1, 2000 - November 2, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Alabama(11/24/2020)
RR
Alaska(11/24/2020)
RR
Arizona(11/24/2020)
RR
Arkansas(11/24/2020)
RR
California(11/24/2020)
RR
Colorado(11/24/2020)
RR
Connecticut(11/24/2020)
RR
Delaware(11/24/2020)
RR
District of Columbia(11/24/2020)
RR
Florida(11/24/2020)
RR
Georgia(11/24/2020)
RR
Hawaii(11/24/2020)
RR
Idaho(11/24/2020)
RR
Illinois(11/24/2020)
RR
Indiana(11/24/2020)
RR
Iowa(11/24/2020)
RR
Kansas(11/24/2020)
RR
Kentucky(11/24/2020)
RR
Louisiana(11/24/2020)
RR
Maine(11/24/2020)
RR
Maryland(11/24/2020)
RR
Massachusetts(11/24/2020)
RR
Michigan(11/24/2020)
RR
Minnesota(11/24/2020)
RR
Mississippi(11/24/2020)
RR
Missouri(11/24/2020)
RR
Montana(11/24/2020)
RR
Nebraska(11/24/2020)
RR
Nevada(11/24/2020)
RR
New Hampshire(11/24/2020)
RR
New Jersey(11/24/2020)
RR
New Mexico(11/24/2020)
RR
New York(11/24/2020)
RR
North Carolina(11/24/2020)
RR
North Dakota(11/24/2020)
RR
Ohio(11/24/2020)
RR
Oklahoma(11/24/2020)
RR
Oregon(11/24/2020)
RR
Pennsylvania(11/24/2020)
RR
Rhode Island(11/24/2020)
RR
South Carolina(11/24/2020)
RR
South Dakota(11/24/2020)
RR
Tennessee(11/24/2020)
RR
Texas(11/24/2020)
RR
Utah(11/24/2020)
RR
Vermont(11/24/2020)
RR
Virginia(11/24/2020)
RR
Washington(11/24/2020)
RR
West Virginia(11/24/2020)
RR
Wisconsin(11/24/2020)
RR
Wyoming(11/24/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FUNDS DISTRIBUTOR, LLC
FUNDS DISTRIBUTOR, INC. | THE BOSTON COMPANY CAPITAL GROUP, INC. | TBC FUNDS DISTRIBUTOR, INC. | FUNDS DISTRIBUTOR, LLC
CRD#: 7174 / SEC#: , 8-20518
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/01/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FUNDS DISTRIBUTOR, LLC
CRD#: 7174Boston, MA 02109TRUST BUT VERIFY
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