James C. Fallon
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.
James Charles Fallon, who also goes by James Fallon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2019 - October 14, 2020
FORTUNE FINANCIAL SERVICES, INC.
June 24, 2016 - May 14, 2019
LPL FINANCIAL LLC
June 24, 2016 - May 14, 2019
LPL FINANCIAL LLC
November 30, 2010 - July 1, 2016
WOODBURY FINANCIAL SERVICES, INC.
November 30, 2010 - July 1, 2016
WOODBURY FINANCIAL SERVICES, INC.
June 27, 2006 - December 10, 2010
MSI FINANCIAL SERVICES, INC.
October 28, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 28, 2003 - December 10, 2010
MSI FINANCIAL SERVICES, 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: 3/30/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/30/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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.
