SW
Seth D. Waller
FALCON FINANCIAL
Salisbury, NC 28144
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CRD#: 5543333
SW
Professional summary
Seth Dustin Waller MR., who also goes by Seth Dustin Waller, is a registered financial advisor currently at FALCON FINANCIAL located in Salisbury, North Carolina.
Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Seth has worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Seth Dustin Waller
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.
1. SELLING FIXED INSURANCE PRODUCTS, INDEPENDENT AGENT, INVESTMENT RELATED, 200 Statesville Blvd. Suite 1001, Salisbury, NC 28144 2. Trident Property Group LLC - Investing in real estate property, not investment related. Managing Member. The address is 200 Statesville Blvd, Salisbury, NC 28144. This work is not related to advisory services and he spends approximately 5% of this time on this activity. 3. AGW&T Properties LLC - a real estate holding company, not investment related. This work is not related to advisory services and he spends approximately 5% of his time on this activity. 4. Trident Health and Nutrition LLC - holding company for ownership of GNC franchise, not investment related. 5. Falcon Health and Nutrition LLC - Managing Member of Falcon Health and Nutrition LLC, a franchisee of GNC. This work is not related to advisor services and he spends approximately 10% of his time on this activity. Address for this holding entity is 200 Statesville Blvd, Salisbury, NC 28144. 6. Rowan Renegades LLC - Managing Member, a holding company for a youth baseball organization. This work is not related to advisory services and he spends approximately 5% of his time on this activity. Duties included coaching youth baseball and overseeing the baseball team.
CRS (Client Relationship Summary) - RIA
Click below to view Seth Dustin Waller MR.'s 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®
NoneExperience
Current
January 24, 2012 - Present
FALCON FINANCIAL
Office #1: 200 Statesville Blvd #1001, Salisbury, NC 28144RIA
CRD#: 160615
Salisbury, NC
Past
February 23, 2010 - December 19, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SALISBURY, NC
Past
February 23, 2010 - December 19, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SALISBURY, NC
Past
March 25, 2009 - August 11, 2009
EDWARD JONES
RIA
CRD#: 250
SALISBURY, NC
Past
March 6, 2009 - August 11, 2009
EDWARD JONES
BD
CRD#: 250
SALISBURY, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
North Carolina(1/24/2012)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
FF
FALCON FINANCIAL
EFALCON ADVISOR | TRIDENT FINANCIAL GROUP | FALCON INVESTMENTS | FALCON INVESTMENT STRATEGIES LLC | FALCON FINANCIAL | FALCON DIVORCE ADVISORS
CRD#: 160615 / SEC#:
North Carolina
Registered Investment Advisory firm - (1/24/2012 Approved)Texas
Registered Investment Advisory firm - (3/6/2025 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 Statesville Blvd #1001, Salisbury, NC 28144
Mailing Address
Phone number
(704) 603-4177
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 547 |
| AUM (Assets Under Management) | $ 85,567,279 |
Red Flags
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Company Information
FALCON FINANCIAL
CRD#: 160615Salisbury, NC 28144TRUST BUT VERIFY
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