Michael J 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

• 01/2015 → Present
  Falcon'S Financial & Tax Service Corp.
  Swansea, MA
• 11/2015 → 10/2019
  1St Global Capital Corp
  Swansea, MA
• 11/2015 → 10/2019
  1St Global Advisors, Inc
  Swansea, MA
• 12/2015 → 09/2025
  Avantax Insurance Services, Inc.
  Swansea, MA
• 10/2019 → 09/2025
  Avantax Advisory Services
  Swansea, MA
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Swansea, MA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Rehoboth, MA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-10-25 → 2025-09-05
  Avantax Advisory Services
  Rehoboth, MA
  Swansea,, MA
• 2015-11-02 → 2019-10-25
  1St Global Advisors Inc
  Swansea, MA

Other Businesses

2) IRV FIT PERSONAL TRAINING CORP.; POSITION: Vice President NATURE: IRV Fit Personal Training Corp is a gym and personal training business. I own 40% of the business and do not work in the business day to day. I primarily advise the business with its finances. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022; 180 Midway Rd, Cranston RI 02920; I meet with the business monthly to review finances, such as profit and loss statements. I also advise on general business operations. 3) FALCON WEALTH MANAGEMENT POSITION: Owner NATURE: Accounting, bookkeeping, and tax preparation. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 03/01/2016 ADDRESS: 435 Wilbur Ave, Swansea MA 02777, United States DESCRIPTION: Manage day to day operations, billing, client meetings. Prepare accounting and tax work for clients.

Exams

• S66 Uniform Combined State Law Examination
  2015-10-22

Other Names

• Michael J Falcon