Gordon Eliot Fallone

Current Employers

Uhlmann Investment Management, L.L.C.

5202 Old Orchard Road Suite 250, Skokie, IL 60077 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2017-12-15
IL	RA	APPROVED	2017-11-21

AZ RA
APPROVED

Since 2017-12-15
IL RA
APPROVED

Since 2017-11-21

Branch Locations

Mill Valley, CA • United States

5202 Old Orchard Road Suite 250, Skokie, IL 60077 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Robertson Stephens Securities	San Francisco	CA	09/2015	10/2017
Robertson Stephens Advisors	San Francisco	CA	09/2015	10/2017
Uhlmann Price Securities, Llc	Chicago	IL	11/2017	Present

09/2015 → 10/2017

Robertson Stephens Securities

San Francisco, CA
09/2015 → 10/2017

Robertson Stephens Advisors

San Francisco, CA
11/2017 → Present

Uhlmann Price Securities, Llc

Chicago, IL

Previous Registrations

2015-10-12 → 2016-10-17

Robertson Stephens Advisors

San Francisco, CA
2013-01-24 → 2015-09-18

Roth Capital Partners, Llc

Newport Beach, CA

San Francisco, CA
2011-01-11 → 2012-11-19

Advanced Equities, Inc.

San Francisco, CA

Other Businesses

1. Uhlmann Investment Management LLC, INVESTMENT ADVISOR - 11/2017. 95/05 PERCENT SPLIT BETWEEN BROKERAGE BUSINESS AND RIA. 2. GENERAL PARTNER AT TRANSFUSION ASSOCIATES, LLC, A SINGLE PURPOSE VEHICLE CREATED TO INVEST IN ZYMEQUEST CORP. OWNS A PERCENTAGE OF THE PROFIT CARRY SHOULD THERE BE ANY. NO BUSINESS HOURS DEVOTED. 1 -2 NON-BUSINESS HOURS A QUARTER DEVOTED. LOCATED AT 201 MISSION ST., SAN FRANCISCO, CA. 3. OnPoint Analytics Capital Partners, 661 San Luis Rd, Berkeley CA, advisory firm, Co Founder & managing partner, sourcing & introducing alternative investments, 100% of the time, all compensation paid through BD Uhlmann Price. 4. Swyft, Inc--08/2023, 140 Geary St, San Francisco, CA 94108, Board Member, 10hours/month, Advise company on various business related issues, 0.005 common equity. 5. Waverly AV LLC/Waverly AV Management, LLC: 1200 Brickell Av. Suite 800, Miami FL 33131. Waverly AV LLC is a travel nursing staffing business, owned/managed by Waverly AV Management, LLC. Board Member 7/2025. Non-investment related. Dedicating around 4 hours a month.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-12-03
S63	Uniform Securities Agent State Law Examination	1988-01-19

S65 Uniform Investment Adviser Law Examination

2010-12-03
S63 Uniform Securities Agent State Law Examination

1988-01-19

Other Names

Gordon Eliot Fallone
Gordon E Fallone
Gordon Elliot Fallone

View on SEC IAPD