Stephen M. Gegorek

FALCON FINANCIAL

Salisbury, NC 28144

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CRD#: 6277430

Professional summary

Stephen Michael Gegorek II, who also goes by S Michael Gegorek II, Stephen M Gegorek Ii, Stephen Michael Gegorek, is a registered financial advisor currently at FALCON FINANCIAL located in Salisbury, North Carolina and PURSHE KAPLAN STERLING INVESTMENTS located in Salisbury, North Carolina.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Stephen has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

S Michael Gegorek Ii | Stephen M Gegorek Ii | Stephen Michael Gegorek

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) 1. Falcon Investment Strategies DBA Falcon Financial 2. Investment related 3. Office of Employment Address 4. RIA 5. Financial Advisor 6. 02/2022 7. 100 hrs/mo 8. 25 hrs during trading 9. monitoring equity positions/ speaking with clients related to individual portfolios 10. Advisory Fees 2) 1. PKS Financial 2. Investment related 3. 80 State Street, Albany NY 12207 4. Fixed / Traditional Insurance 5. Agent 6. 6/2022 7. 10 hrs/mo 8. 10 hrs during trading 9. Sales of fixed / traditional insurance products 3) 1. Fixed Insurance 2. Investment related 3. Office of Employment Address 4. Fixed / Traditional Insurance 5. Agent 6. 02/2022 7. 10 hrs/mo 8. 10 hrs during trading 9. Sales of Fixed / Traditional insurance products and make commission on sales. 4) Metolius Capital, LLC -Stephen Gegorek is the sole owner of Metolius Capital, a holding company that is not investment related, strictly pass through. Stephen spends 0% of his time on this activity. Address for the holding company is 2730 Farm House Lane, Monroe, NC 28110 5) The Gegorek Group - This was a business consulting company created in 2019. Stephen is a 49% owner. Stephen spends 0% of his time on this activity as the company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Gegorek II'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®

None

Experience

Current

January 12, 2022 - Present

FALCON FINANCIAL

Office #1: 200 Statesville Blvd #1001, Salisbury, NC 28144

RIA

CRD#: 160615

Salisbury, NC

Current

June 3, 2022 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 200 Statesville Blvd Suite 1004, Salisbury, NC 28144

CRD#: 35747

Salisbury, NC

Past

February 21, 2019 - January 3, 2022

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

CHARLOTTE, NC

Past

February 1, 2019 - January 3, 2022

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CHARLOTTE, NC

Past

January 20, 2016 - February 19, 2019

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

CHARLOTTE, NC

Past

September 14, 2015 - February 19, 2019

PARK AVENUE SECURITIES LLC

CRD#: 46173

CHARLOTTE, 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.

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

IAR

North Carolina
(1/12/2022)

North Carolina
(6/3/2022)

South Carolina
(9/9/2022)

Texas
(8/8/2022)

IAR

Texas
(3/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/12/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FALCON FINANCIAL

CRD#: 160615 / SEC#:

North Carolina

Registered Investment Advisory firm - (1/24/2012 Approved)

Texas

Registered Investment Advisory firm - (3/6/2025 Conditional Restricted)

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	547
AUM (Assets Under Management)	$ 85,567,279

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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Stephen M. Gegorek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Gegorek II's CRS (Customer Relationship Summary).

Certified licenses

Experience

FALCON FINANCIAL

PURSHE KAPLAN STERLING INVESTMENTS

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/12/2016

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2015

FINRA

Current Firm

FALCON FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FALCON FINANCIAL

TRUST BUT VERIFY

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