Joseph David Falcone

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2019-02-14

CT RA
APPROVED

Since 2019-02-14

Branch Locations

Seymour, CT • United States

Disclosures

1 disclosure category 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 No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Various Insurance Carriers For W&R Insurance Agencies	Seymour	CT	03/2011	01/2019
Waddell & Reed, Inc	Hamden	CT	03/2011	01/2019
Oxford High School	Oxford	CT	05/2015	01/2019
Lpl Financial Llc	Seymour	CT	02/2019	Present

03/2011 → 01/2019

Various Insurance Carriers For W&R Insurance Agencies

Seymour, CT
03/2011 → 01/2019

Waddell & Reed, Inc

Hamden, CT
05/2015 → 01/2019

Oxford High School

Oxford, CT
02/2019 → Present

Lpl Financial Llc

Seymour, CT

Previous Registrations

2011-03-25 → 2019-01-30

Waddell & Reed

Hamden, CT

Seymour, CT
2006-12-01 → 2011-02-16

Janney Montgomery Scott Llc

New Haven, CT
2000-03-06 → 2006-12-01

Ubs Financial Services Inc.

New Haven, CT

New Haven, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-01-13
S63	Uniform Securities Agent State Law Examination	1999-12-09

S66 Uniform Combined State Law Examination

2000-01-13
S63 Uniform Securities Agent State Law Examination

1999-12-09

Other Names

Joseph Falcone
Jay Falcone

View on SEC IAPD