Sammy N. Khalil

FALCON WEALTH PLANNING

ONTARIO, CA 91764

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CRD#: 7274459

Professional summary

Sammy Naief Khalil, who also goes by Sam Khalil, is a registered financial advisor currently at FALCON WEALTH PLANNING, INC. located in Ontario, California.

Sammy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Sammy has worked at 2 firms and has passed the Series 65, Series 66 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Khalil

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sammy Naief Khalil's CRS (Customer Relationship Summary).

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

March 27, 2025 - Present

FALCON WEALTH PLANNING, INC.

Office #1: 3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764

RIA

CRD#: 174092

ONTARIO, CA

Past

August 6, 2020 - July 23, 2023

NYX MOROS

RIA

CRD#: 309834

GARDEN GROVE, CA

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".

FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (5/5/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(3/27/2025)

IAR

Texas
(3/27/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/30/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/26/2020

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/14/2024

Securities Industry Essentials Examination

Current Firm

FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (5/5/2018 Terminated)

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Contact information

Main Address

3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764

Mailing Address

Phone number

(855) 963-2526

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-FALCON WEALTH PLANNING, INC. (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,575
AUM (Assets Under Management)	$ 1,159,538,045

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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Sammy N. Khalil

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sammy Naief Khalil's CRS (Customer Relationship Summary).

Certified licenses

Experience

FALCON WEALTH PLANNING, INC.

NYX MOROS

Primary Firm SEC Registration

FALCON WEALTH PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2020

Series 66

Date: 5/26/2020

SIE

Date: 10/14/2024

Current Firm

FALCON WEALTH PLANNING, INC.

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FALCON WEALTH PLANNING, INC.

TRUST BUT VERIFY

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