NF
Nicholas M. Falvo
PANTHEON SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 7136995
NF
Professional summary
Nicholas Michael Falvo is a registered financial professional currently at PANTHEON SECURITIES, LLC located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2020. Nicholas has worked at 2 firms and has passed the Series 63, Series 6TO, Series 3, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Michael Falvo'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 19, 2024 - Present
PANTHEON SECURITIES, LLC
Office #1: 11 Times Square 35th Floor, New York, NY 10036BD
CRD#: 285480
New York, NY
Past
September 1, 2020 - November 20, 2024
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(11/19/2024)
RR
Alaska(11/19/2024)
RR
Arizona(11/19/2024)
RR
Arkansas(11/19/2024)
RR
California(11/19/2024)
RR
Colorado(11/19/2024)
RR
Connecticut(11/19/2024)
RR
Delaware(11/19/2024)
RR
District of Columbia(11/19/2024)
RR
Florida(11/19/2024)
RR
Georgia(11/19/2024)
RR
Hawaii(11/19/2024)
RR
Idaho(11/19/2024)
RR
Illinois(11/19/2024)
RR
Indiana(11/19/2024)
RR
Iowa(11/19/2024)
RR
Kansas(11/19/2024)
RR
Kentucky(11/19/2024)
RR
Louisiana(11/19/2024)
RR
Maine(11/19/2024)
RR
Maryland(11/19/2024)
RR
Massachusetts(11/19/2024)
RR
Michigan(11/19/2024)
RR
Minnesota(11/19/2024)
RR
Mississippi(11/19/2024)
RR
Missouri(11/19/2024)
RR
Montana(11/19/2024)
RR
Nebraska(11/19/2024)
RR
Nevada(11/19/2024)
RR
New Hampshire(11/19/2024)
RR
New Jersey(11/19/2024)
RR
New Mexico(11/19/2024)
RR
New York(11/19/2024)
RR
North Carolina(11/19/2024)
RR
North Dakota(11/19/2024)
RR
Ohio(11/19/2024)
RR
Oklahoma(11/19/2024)
RR
Oregon(11/19/2024)
RR
Pennsylvania(11/19/2024)
RR
Puerto Rico(11/19/2024)
RR
Rhode Island(11/19/2024)
RR
South Carolina(11/19/2024)
RR
South Dakota(11/19/2024)
RR
Tennessee(11/19/2024)
RR
Texas(11/19/2024)
RR
Utah(11/19/2024)
RR
Vermont(11/19/2024)
RR
Virgin Islands(11/19/2024)
RR
Virginia(11/19/2024)
RR
Washington(11/19/2024)
RR
West Virginia(11/19/2024)
RR
Wisconsin(11/19/2024)
RR
Wyoming(11/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/19/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/31/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PANTHEON SECURITIES, LLC
PANTHEON SECURITIES, LLC
CRD#: 285480 / SEC#: , 8-69844
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
11 Times Square 35th Floor, New York, NY 10036
Mailing Address
11 Times Square, New York, NY 10036
Phone number
(212) 205-2000
Established
Delaware since 08/24/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
