Fallan E. King
Professional summary
Fallan E King was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Fallan is a previously registered financial professional and started their career in finance in 2015. Prior to being barred, Fallan had worked at 2 firms, which includes CAPITAL ONE INVESTING LLC, J.P. MORGAN CLEARING CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2016 - February 27, 2018
CAPITAL ONE INVESTING, LLC
February 23, 2015 - May 17, 2016
J.P. MORGAN CLEARING CORP.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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