Charles William Falzone

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2023-05-02

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Greenwich	CT	03/2016	02/2017
Bank Of America, N.A.	Greenwich	CT	05/2016	02/2017
Fidelity Investments	Fairfield	CT	02/2017	09/2021
Fidelity Personal And Workplace Advisors	Boston	MA	07/2018	09/2021
Sanuwave Inc	Eden Prairie	MN	01/2022	10/2022
Pulse4Pulse Llc	Middlebury	CT	01/2023	04/2023
Charles Schwab & Co., Inc.	Fairfield	CT	05/2023	Present
Charles Schwab Bank, Ssb	Fairfield	CT	05/2023	Present
Unemployed	Easton	CT	09/2021	01/2022

03/2016 → 02/2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT
05/2016 → 02/2017

Bank Of America, N.A.

Greenwich, CT
02/2017 → 09/2021

Fidelity Investments

Fairfield, CT
07/2018 → 09/2021

Fidelity Personal And Workplace Advisors

Boston, MA
01/2022 → 10/2022

Sanuwave Inc

Eden Prairie, MN
01/2023 → 04/2023

Pulse4Pulse Llc

Middlebury, CT
05/2023 → Present

Charles Schwab & Co., Inc.

Fairfield, CT
05/2023 → Present

Charles Schwab Bank, Ssb

Fairfield, CT
09/2021 → 01/2022

Unemployed

Easton, CT

2018-07-13 → 2021-09-29

Fidelity Personal And Workplace Advisors

Boston, MA
2017-02-28 → 2018-07-13

Strategic Advisers Llc

Fairfield, CT
2016-04-07 → 2017-02-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT
2014-09-09 → 2016-03-23

Hhg & Company, Llc

Darien, CT
2008-01-01 → 2010-09-08

Wells Fargo Clearing Services, Llc

Southport, CT
2007-09-17 → 2008-01-01

A. G. Edwards & Sons, Inc.

St. Louis, MO

Southport, CT

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2016-06-03
S66	Uniform Combined State Law Examination	2007-09-14

Other Firms