Leland 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.
Leland Fallon, who also goes by Leland S Fallon, Leland Shawn Fallon, was a registered financial professional .
Leland is a previously registered financial professional and started their career in finance in 2006. Leland had worked at 15 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2024 - May 26, 2026
FIRST COMMAND ADVISORY SERVICES
December 19, 2024 - May 26, 2026
FIRST COMMAND BROKERAGE SERVICES, INC.
June 18, 2024 - October 16, 2024
PINNACLE INVESTMENTS, LLC
June 18, 2024 - October 16, 2024
PINNACLE INVESTMENTS, LLC
September 1, 2023 - June 7, 2024
CUSO FINANCIAL SERVICES, L.P.
September 1, 2023 - June 7, 2024
CUSO FINANCIAL SERVICES, L.P.
May 9, 2022 - September 6, 2023
PRINCIPAL SECURITIES, INC.
April 28, 2022 - September 6, 2023
PRINCIPAL SECURITIES, INC.
September 16, 2021 - April 29, 2022
LPL FINANCIAL LLC
September 14, 2021 - April 29, 2022
LPL FINANCIAL LLC
November 22, 2017 - August 10, 2021
MML INVESTORS SERVICES, LLC
November 22, 2017 - August 10, 2021
MML INVESTORS SERVICES, LLC
May 4, 2016 - June 6, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
May 4, 2016 - June 6, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
July 1, 2015 - April 14, 2016
PRINCIPAL SECURITIES, INC.
May 18, 2015 - April 14, 2016
PRINCIPAL SECURITIES, INC.
January 2, 2014 - June 1, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2013 - June 1, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2012 - September 18, 2013
VANGUARD MARKETING CORPORATION
November 21, 2011 - January 12, 2012
PURSHE KAPLAN STERLING INVESTMENTS
August 31, 2011 - November 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 2011 - November 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2010 - September 8, 2010
USAA FINANCIAL PLANNING SERVICES
June 11, 2010 - September 8, 2010
USAA FINANCIAL ADVISORS, INC.
August 24, 2009 - June 9, 2010
CHARLES SCHWAB & CO., INC.
August 20, 2009 - June 9, 2010
CHARLES SCHWAB & CO., INC.
June 3, 2009 - July 21, 2009
OSAIC SERVICES, INC.
July 1, 2008 - May 6, 2009
OSAIC SERVICES, INC.
November 24, 2006 - June 16, 2008
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 113,591 |
| AUM (Assets Under Management) | $ 24,429,418,155 |
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.
