Patrick Anthony Falcon

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2001 → 10/2019
  1St Global Capital Corp
  Houston, TX
• 01/2002 → 10/2019
  1St Global Advisors, Inc
  Houston, TX
• 03/2005 → 09/2025
  Avantax Insurance Services, Inc.
  Houston, TX
• 07/2007 → Present
  Falcon & Associates
  Houston, TX
• 10/2019 → 09/2025
  Avantax Advisory Services
  Houston, TX
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Houston, TX
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Houston, TX
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-10-25 → 2025-09-05
  Avantax Advisory Services
  Houston, TX
• 2002-02-19 → 2019-10-25
  1St Global Advisors Inc
  Houston, TX

Other Businesses

PATRICK A. FALCON, PC; INVESTMENT RELATED; HOUSTON, TX; WEALTH MANAGEMENT ENTITY

Exams

• S66 Uniform Combined State Law Examination
  2001-08-31