Rebecca A. Falco
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.
Rebecca Austin Falco, who also goes by Rebecca Ann Austin, Rebecca Austin, Rebecca Ann Falco, Rebecca Falco, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 2005. Rebecca had worked at 7 firms and has passed the Series 66, SIE 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
November 3, 2022 - October 3, 2025
THE LEADERS GROUP, INC.
August 8, 2019 - April 30, 2020
IC ADVISORY SERVICES, INC.
July 11, 2019 - April 30, 2020
THE INVESTMENT CENTER, INC.
October 20, 2011 - January 17, 2018
WILLIAM BLAIR
October 20, 2011 - January 17, 2018
WILLIAM BLAIR
July 31, 2009 - June 15, 2011
CITIGROUP GLOBAL MARKETS INC.
July 31, 2009 - June 15, 2011
CITIGROUP GLOBAL MARKETS INC.
November 29, 2007 - April 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2007 - April 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 2005 - May 10, 2007
RBC CAPITAL MARKETS, LLC
April 11, 2005 - May 10, 2007
RBC CAPITAL MARKETS, LLC
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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
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.
