JF
Joshua E. Fallenstein
GRADIENT SECURITIES
Sayre, PA 18840
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CRD#: 5904288
JF
Professional summary
Joshua Eric Fallenstein, who also goes by Josh Fallenstein, Joshua Fallenstein, is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Sayre, Pennsylvania.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Joshua has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 56 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Josh Fallenstein | Joshua Fallenstein
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) FREEDOM FINANCIAL TAX, LLC; NONINVT REL; 119 W PACKER AVE, STE 3, SAYRE, PA 18840; 142 SOUTH MAIN AVE, SCRANTON, PA 18504; TAX PREPARATION; MANAGING MEMBER; START 01/2018; 6 HOURS PER MONTH; 6 HOURS DURING SECURITIES TRADING HOURS; TAX PREPARATION AND TAX PLANNING. 2) FREEDOM FINANCIAL INSURANCE, LLC; INVT REL; 119 W PACKER AVE, STE 3, SAYRE, PA 18840; 142 SOUTH MAIN AVE, SCRANTON, PA 18504; INSURANCE; MANAGING MEMBER; START 06/2023; 100 HOURS PER MONTH; 100 HOURS DURING SECURITIES TRADING HOURS; DBA NAME FOR INSURANCE. 3) JOSHUA FALLENSTEIN; INVT REL; 208 LONGWAY ST, ATHENS, PA 18810; REAL ESTATE; OWNER; START 07/2021; 2 HOURS PER MONTH; 2 HOURS DURING SECURITIES TRADING HOURS; COLLECT RENT AND MAINTAIN PROPERTY. 4) FREEDOM WEALTH MANAGEMENT DBA AJ FREEDOM FINANCIAL; INVT REL; 119 W PACKER AVE, STE 3, SAYRE, PA 18840; 142 SOUTH MAIN AVE, SCRANTON, PA 18504; SECURITIES AND ADVISORY BUSINESS; MANAGING MEMBER; START 06/2023; 100 HOURS PER MONTH; 100 HOURS DURING SECURITIES TRADING HOURS; DBA NAME FOR SECURITIES AND ADVISORY BUSINESS. 5) BNI - LEADERSHIP; NONINVT REL; 119 W PACKER AVE, STE 3, SAYRE, PA 18840; MEMBER OF MEMBERSHIP COMMITTEE; START 05/24; 2 HOURS PER MONTH; 2 HOURS DURING SECURITIES TRADING HOURS; DISCUSS GROUP HEALTH/LIFE INSURANCE AND APPROVE NEW MEMBERS.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Eric Fallenstein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua Eric Fallenstein'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
November 13, 2015 - Present
GRADIENT SECURITIES, LLC
Office #1: 119 West Packer Ave Suite #3, Sayre, PA 18840Office #2: 142 South Main Ave, Scranton, PA 18504RIA
BD
CRD#: 127701
Sayre, PA
Current
February 13, 2014 - Present
GRADIENT SECURITIES, LLC
Office #1: 119 West Packer Ave Suite #3, Sayre, PA 18840Office #2: 142 South Main Ave, Scranton, PA 18504RIA
BD
CRD#: 127701
Sayre, PA
Past
January 5, 2015 - August 17, 2015
YOUR MONEY MATTERS WEALTH MANAGEMENT, LLC
RIA
CRD#: 146623
SAYRE, PA
Past
October 8, 2013 - January 2, 2014
SPEEDTRADER, INC
BD
CRD#: 107403
WHITE PLAINS, NY
Past
April 25, 2011 - July 11, 2013
WTS PROPRIETARY TRADING GROUP LLC
BD
CRD#: 148117
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
California(10/21/2015)
IAR
California(11/13/2015)
IAR
Colorado(6/16/2022)
RR
Colorado(6/23/2022)
RR
Delaware(4/17/2019)
RR
Florida(4/9/2020)
IAR
Florida(4/14/2020)
IAR
Maryland(10/21/2022)
RR
Maryland(4/14/2025)
RR
Massachusetts(2/9/2024)
RR
New Hampshire(6/18/2014)
IAR
New Hampshire(8/9/2019)
RR
New Jersey(6/16/2016)
IAR
New Jersey(9/9/2019)
RR
New York(2/14/2014)
IAR
New York(3/20/2021)
RR
North Carolina(7/8/2015)
IAR
North Carolina(11/16/2017)
RR
Ohio(8/28/2025)
RR
Oregon(1/2/2025)
IAR
Oregon(1/7/2025)
RR
Pennsylvania(2/14/2014)
IAR
Pennsylvania(11/13/2015)
RR
South Carolina(5/22/2025)
RR
Texas(8/16/2022)
IAR
Texas(8/16/2022)
RR
Vermont(10/31/2024)
IAR
Vermont(11/19/2024)
RR
Virginia(6/20/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/2/2013
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 56
Date: 10/28/2011
Proprietary Trader Qualification ExaminationSRO Registrations
RR
FINRA
Current Firm
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
GRADIENT SECURITIES, LLC
CRD#: 127701Sayre, PA 18840TRUST BUT VERIFY
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