Jeffrey T. Falke
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.
Jeffrey Trenton Falke, who also goes by Jeffrey Trent Falke Falke, Jeffrey Trent Falke, Jeffrey Falke, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2003. Jeffrey had worked at 8 firms and has passed the Series 66, Series 7TO 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
October 1, 2025 - December 22, 2025
WELLS FARGO SECURITIES, LLC
June 9, 2020 - August 24, 2021
CHARLES SCHWAB & CO., INC.
October 9, 2012 - April 21, 2014
USAA FINANCIAL PLANNING SERVICES
September 18, 2012 - April 21, 2014
USAA FINANCIAL ADVISORS, INC.
May 22, 2006 - April 5, 2012
CHASE INVESTMENT SERVICES CORP.
May 22, 2006 - April 5, 2012
CHASE INVESTMENT SERVICES CORP.
May 26, 2005 - May 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 2005 - May 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2004 - May 5, 2005
USALLIANZ SECURITIES, INC.
May 20, 2004 - May 5, 2005
USALLIANZ SECURITIES, INC.
September 17, 2003 - April 20, 2004
FOX & COMPANY INVESTMENTS INC.
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
Series 7TO
Date: 9/27/2023
General Securities Representative ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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