MF
Michael I. Falcon
FORESIDE FUND SERVICES
New York, NY 10022
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CRD#: 4657609
MF
Professional summary
Michael I Falcon, who also goes by Michael Irving Falcon, Michael Falcon, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 6 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Irving Falcon | Michael Falcon
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 Michael I 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
February 23, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 65 East 55th Street 26th Floor, New York, NY 10022BD
CRD#: 46106
New York, NY
Past
March 15, 2019 - March 4, 2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
March 9, 2012 - December 20, 2018
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
October 7, 2005 - October 7, 2005
MERRILL LYNCH GOVERNMENT SECURITIES INC.
BD
CRD#: 19693
NEW YORK, NY
Past
October 7, 2005 - May 15, 2008
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
March 31, 2005 - May 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
January 1, 2005 - May 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PENNINGTON, 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
Alabama(5/7/2024)
RR
Alaska(5/14/2024)
RR
Arizona(5/9/2024)
RR
Arkansas(5/9/2024)
RR
California(4/26/2024)
RR
Colorado(5/9/2024)
RR
Connecticut(4/26/2024)
RR
Delaware(5/8/2024)
RR
District of Columbia(5/13/2024)
RR
Florida(4/29/2024)
RR
Georgia(4/29/2024)
RR
Hawaii(5/10/2024)
RR
Idaho(5/1/2024)
RR
Illinois(5/10/2024)
RR
Indiana(5/8/2024)
RR
Iowa(4/29/2024)
RR
Kansas(5/7/2024)
RR
Kentucky(5/20/2024)
RR
Louisiana(5/8/2024)
RR
Maine(4/29/2024)
RR
Maryland(5/16/2024)
RR
Massachusetts(4/29/2024)
RR
Michigan(5/8/2024)
RR
Minnesota(5/7/2024)
RR
Mississippi(5/9/2024)
RR
Missouri(5/2/2024)
RR
Montana(5/14/2024)
RR
Nebraska(4/29/2024)
RR
Nevada(5/8/2024)
RR
New Hampshire(5/9/2024)
RR
New Jersey(5/7/2024)
RR
New Mexico(5/8/2024)
RR
New York(4/29/2024)
RR
North Carolina(5/15/2024)
RR
North Dakota(5/13/2024)
RR
Ohio(4/26/2024)
RR
Oklahoma(5/8/2024)
RR
Oregon(5/8/2024)
RR
Pennsylvania(4/29/2024)
RR
Rhode Island(4/29/2024)
RR
South Carolina(5/15/2024)
RR
South Dakota(5/8/2024)
RR
Tennessee(4/29/2024)
RR
Texas(5/2/2024)
RR
Utah(4/29/2024)
RR
Vermont(5/7/2024)
RR
Virginia(5/13/2024)
RR
Washington(5/8/2024)
RR
West Virginia(5/8/2024)
RR
Wisconsin(4/26/2024)
RR
Wyoming(5/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
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
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# 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 |
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.
