Adam T. Falls
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.
Adam Thomas Falls, who also goes by Adam Falls, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2018. Adam had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2020 - September 9, 2021
INDY FINANCIAL ADVISORS, LLC
September 10, 2018 - January 29, 2020
CATCH CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Current Firm
INDY FINANCIAL ADVISORS, LLC
CRD#: 307168 / SEC#: 801-118309
Contact information
Documents
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.
