Justin A. Falzone
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.
Justin A Falzone, CFP®, who also goes by Justin Falzone, was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 2014. Justin had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2022 - January 10, 2024
BETA WEALTH GROUP, INC
July 1, 2019 - October 7, 2022
BEAM WEALTH ADVISORS, INC.
April 15, 2019 - April 1, 2022
SECURITIES AMERICA, INC.
April 19, 2017 - April 30, 2019
PARK AVENUE SECURITIES LLC
March 31, 2017 - April 30, 2019
PARK AVENUE SECURITIES LLC
March 31, 2014 - March 16, 2017
EQUITABLE ADVISORS, LLC
February 27, 2014 - March 16, 2017
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
BETA WEALTH GROUP, INC
CRD#: 165224 / SEC#: 801-77060
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
Current Firm
BETA WEALTH GROUP, INC
CRD#: 165224 / SEC#: 801-77060
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 430 |
| AUM (Assets Under Management) | $ 428,982,018 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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