MF
Michael J. Falcon
CETERA INVESTMENT ADVISERS LLC
SWANSEA, MA 02777
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CRD#: 4557868
MF
Professional summary
Michael John Falcon is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Swansea, Massachusetts and CETERA WEALTH SERVICES, LLC located in Swansea, Massachusetts.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) FALCONS FINANCIAL & TAX SERVICES CORP.; SWANSEA, MA; NON INVESTMENT RELATED; PRESIDENT; 50% OWNER; 1/1/04; 50 HRS/MTH 2) RENTAL PROPERTY POSITION: Owner NATURE: I own the property. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/27/2015 ADDRESS: 435 Wilbur Ave, Swansea MA 02777, United States DESCRIPTION: Property management in a limited status. 3) ST MICHAELS FCU POSITION: Board of Directors NATURE: Providing assistance to the ceo of the credit union. Dealing with normal credit union operations. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/19/2017 ADDRESS: 60 Garside St, Fall River MA 02720, United States DESCRIPTION: Dealing with operation strategies related to credit unions. Editing procedures, dealing with merchants through the ceo.
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Falcon'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 435 Wilbur Ave, Swansea, MA 02777RIA
CRD#: 105644
SWANSEA, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 435 Wilbur Ave, Swansea, MA 02777BD
CRD#: 13572
SWANSEA, MA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
SWANSEA, MA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SWANSEA, MA
Past
January 16, 2003 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
SWANSEA, MA
Past
October 10, 2002 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SWANSEA, MA
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
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law 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
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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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Swansea, MA 02777TRUST BUT VERIFY
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