Dylan M. Falvey

NPM SECURITIES

New York, NY 10016

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CRD#: 5351614

Professional summary

Dylan Madden Falvey is a registered financial professional currently at NPM SECURITIES, LLC located in New York, New York.

Dylan is registered as a RR (Registered Representative) and started their career in finance in 2007. Dylan has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dylan Madden Falvey's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 22, 2023 - Present

NPM SECURITIES, LLC

Office #1: 3 East 28th Street 7th Floor, New York, NY 10016

CRD#: 168469

New York, NY

Past

March 27, 2019 - March 31, 2023

TRADEPRO SECURITIES, LLC.

CRD#: 103781

LAWRENCEVILLE, GA

Past

March 10, 2016 - March 26, 2019

BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110

NEW YORK, NY

Past

September 10, 2015 - January 28, 2016

SECOND STREET SECURITIES, INC.

CRD#: 42404

SAN FRANCISCO, CA

Past

July 1, 2011 - September 13, 2013

PALADIN MARKET ADVISORS, LLC

CRD#: 13281

NEW YORK, NY

Past

October 1, 2010 - February 22, 2011

RODMAN & RENSHAW, LLC

CRD#: 16415

NEW YORK, NY

Past

June 12, 2007 - August 20, 2007

JAMES E. COFFEY SECURITIES, INC.

CRD#: 141393

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(2/22/2023)

Delaware
(5/20/2024)

Maryland
(5/20/2024)

Massachusetts
(5/20/2024)

New York
(2/22/2023)

Texas
(5/20/2024)

Utah
(5/20/2024)

Exams

State Security Law Exam

Series 63

Date: 7/19/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/9/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NPM SECURITIES, LLC

CRD#: 168469 / SEC#: , 8-69312

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

3 East 28th Street 7th Floor, New York, NY 10016

Mailing Address

3 East 28th Street 7th Floor, New York, NY 10016

Phone number

(646) 968-7064

Established

Delaware since 05/01/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NASDAQ PRIVATE MARKET, LLC (FKA: COPELAND MARKETS)	SHAREHOLDER
AFONJA, LATIFAT	FINOP	5443130
CALLAHAN, THOMAS FRANCIS	CHIEF EXECUTIVE OFFICER	2278823
KROCULICK, ANDREW JOHN	HEAD OF BUSINESS OPERATIONS AND CLIENT EXPERIENCE	7759899
SETARO, CHRISTOPHER MICHAEL	CHIEF COMPLIANCE OFFICER	2635774

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.

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Firm Stability Insights

Dylan M. Falvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dylan Madden Falvey's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRADEPRO SECURITIES, LLC.

BENJAMIN & JEROLD BROKERAGE I, LLC

SECOND STREET SECURITIES, INC.

PALADIN MARKET ADVISORS, LLC

RODMAN & RENSHAW, LLC

JAMES E. COFFEY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/2011

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2010

Series 24

Date: 2/9/2012

FINRA

Current Firm

NPM SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NPM SECURITIES, LLC

TRUST BUT VERIFY

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